Click a link below to view the mailing archive as if it had been sent to you. . 2011-06-30 19:30 Jim Hamilton's World of Securities Regulation - Senate Leader and Industry Oppose Administration Effort to Repeal LIFO Accounting. 2011-06-30 15:30 Jim ...
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Jim Hamiltons World of Securities Regulation Archive for June, 2011

Click a link below to view the mailing archive as if it had been sent to you.

2011-06-30 19:30Jim Hamilton's World of Securities Regulation - Senate Leader and Industry Oppose Administration Effort to Repeal LIFO Accounting
2011-06-30 15:30Jim Hamilton's World of Securities Regulation - Independent Auditor Provides 10A Report and Resigns
2011-06-29 20:00Jim Hamilton's World of Securities Regulation - House Legislation Would Codify and Apply to SEC Presidential Executive Order on Agency Rulemaking
2011-06-29 17:00Jim Hamilton's World of Securities Regulation - House Legislation Would Codify and Apply to SEC Presidential Executive Order on Agency Rulemaking
2011-06-29 08:30Jim Hamilton's World of Securities Regulation - Landmark Australian Ruling Calls Directors Essential Component of Corporate Governance
2011-06-29 07:30Jim Hamilton's World of Securities Regulation - Landmark Australian Ruling Calls Directors Essential Component of Corporate Governance
2011-06-29 03:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-28 15:00Jim Hamilton's World of Securities Regulation - European Commission Proposes Regulatory Regime for Venture Capital Funds
2011-06-28 12:30Jim Hamilton's World of Securities Regulation - In Light of Financial Crisis, Singapore Proposes Revisions to Corporate Governance Code
2011-06-27 15:30Jim Hamilton's World of Securities Regulation - Hong Kong Court Has No Jurisdiction Over SFC Action Against Hedge Fund for Insider Trading
2011-06-27 15:00Jim Hamilton's World of Securities Regulation - Hong Kong Court Has No Jurisdiction Over SFC Action Against Hedge Fund for Insider Trading
2011-06-27 13:30Jim Hamilton's World of Securities Regulation - Citing Basel Committee Action, Members of House Financial Services Committee Caution on Raising Bank Capital Requirements
2011-06-27 11:30Jim Hamilton's World of Securities Regulation - UK Official Launches Corporate Governance Initiative on Executive Compensation and Shareholder Involvement
2011-06-27 11:00Jim Hamilton's World of Securities Regulation - UK Official Launches Corporate Governance Initiative on Executive Compensation and Shareholder Involvement
2011-06-26 21:30Jim Hamilton's World of Securities Regulation - Legislation Repealing Pay Ratio Provision of Dodd-Frank Passed Out of House Financial Services Committee
2011-06-26 18:30Jim Hamilton's World of Securities Regulation - Legislation Repealing Pay Ratio Provision of Dodd-Frank Passed Out of House Financial Services Committee
2011-06-26 16:00Jim Hamilton's World of Securities Regulation - Supreme Court This Term Strongly Reaffirms Deference to Agency Interpretation of Regulations
2011-06-26 15:30Jim Hamilton's World of Securities Regulation - Supreme Court This Term Strongly Reaffirms Deference to Agency Interpretation of Regulations
2011-06-23 23:00Jim Hamilton's World of Securities Regulation - 3 new articles
2011-06-23 18:30Jim Hamilton's World of Securities Regulation - House Leaders Ask for Audit of Financial Stability Oversight Council
2011-06-23 17:30Jim Hamilton's World of Securities Regulation - Comment Period Extended on Proposed Regulations on Margin and Capital for Swap Dealers
2011-06-23 13:00Jim Hamilton's World of Securities Regulation - House Committee Gives Bi-Partisan Approval to Legislation Creating US Covered Bond Market
2011-06-23 12:00Jim Hamilton's World of Securities Regulation - Senator Corker Has Concerns about Proposed Dodd-Frank Risk Retention Regulations
2011-06-22 20:30Jim Hamilton's World of Securities Regulation - SEC Adopts Regulations Requiring Registration of Hedge Fund and Private Fund Advisers; Defines Venture Capital Fund
2011-06-22 19:00Jim Hamilton's World of Securities Regulation - SEC Adopts Regulations Requiring Registration of Hedge Fund and Private Fund Advisers; Defines Venture Capital Fund
2011-06-22 15:00Jim Hamilton's World of Securities Regulation - Funds' Distributor and Adviser Settle Fraud Charges Related to Subprime Mortgage-Backed Securities in Coordinated Federal-State Action
2011-06-22 14:30Jim Hamilton's World of Securities Regulation - Funds' Distributor and Adviser Settle Fraud Charges Related to Subprime Mortgage-Backed Securities in Coordinated Federal-State Action
2011-06-21 23:30Jim Hamilton's World of Securities Regulation - NASAA Questions Registration Exemption for Private Equity Fund Advisers
2011-06-21 18:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-06-21 16:00Jim Hamilton's World of Securities Regulation - NASAA Opposes Efforts to Strip Protections from Regulation A Offerings
2011-06-21 15:30Jim Hamilton's World of Securities Regulation - Senate and House Oversight Chairs Urge Regulators Not to Undermine Derivatives End-User Exemption and Limit Title VII's Extraterritorial Scope
2011-06-21 15:00Jim Hamilton's World of Securities Regulation - Texas Adopts Form D Electronic Filing and Accredited Investor Definitions
2011-06-21 14:00Jim Hamilton's World of Securities Regulation - Louisiana Incorporates SEC Recordkeeping Requirements for Broker-Dealers and Investment Advisers
2011-06-21 11:30Jim Hamilton's World of Securities Regulation - Louisiana Incorporates SEC Recordkeeping Requirements for Broker-Dealers and Investment Advisers
2011-06-20 22:30Jim Hamilton's World of Securities Regulation - Delaware Chancery Court Interprets Airgas to Allow Nominal Truncation of Director's Term
2011-06-20 18:30Jim Hamilton's World of Securities Regulation - Delaware Chancery Court Interprets Airgas to Allow Nominal Truncation of Director's Term
2011-06-20 17:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-06-20 15:30Jim Hamilton's World of Securities Regulation - House Passes Appropriations Bill Requiring CFTC to Finalize Swap Data Reporting Rules before Block Trade and Real-Time Reporting Rules
2011-06-20 12:00Jim Hamilton's World of Securities Regulation - Senate Legislation Would Direct CFTC to Impose Position Limits and Margin Requirements on Oil Speculation
2011-06-20 11:00Jim Hamilton's World of Securities Regulation - Securities and Banking Groups Ask Banking Agencies to Coordinate with SEC on Margin and Capital Rules for Swap Entities
2011-06-19 18:00Jim Hamilton's World of Securities Regulation - Consensus Growing for Allowing Exchanges Flexibility in Setting Independence Standards for Compensation Committees
2011-06-19 12:30Jim Hamilton's World of Securities Regulation - Senate Banking Committee Chair Asks SEC to Exempt Banks Offering Traditional Products from Municipal Advisor Registration
2011-06-18 19:30Jim Hamilton's World of Securities Regulation - UK Government Rejects Mandatory Joint Audits as Way to Expand Public Audit beyond the Big Four, Says No Firm Too Big To Fail
2011-06-18 17:00Jim Hamilton's World of Securities Regulation - With Effective Date of Dodd-Frank Derivatives Provisions Looming, SEC Gives Guidance on Title VII
2011-06-17 18:30Jim Hamilton's World of Securities Regulation - President's FY 2012 Budget Includes a Financial Crisis Responsibility Fee for Financial Firms
2011-06-17 13:30Jim Hamilton's World of Securities Regulation - SEC Chair Addresses Congressional Concerns on the Global Regulatory Impact of Unilateral US Implementation of the Volcker Rule
2011-06-17 12:30Jim Hamilton's World of Securities Regulation - UK Treasury Endorses Vickers Commission Recommendation to Ring-Fence Retail Banking Activities from Investment Banking and Hedge Fund Investments
2011-06-17 11:00Jim Hamilton's World of Securities Regulation - UK Treasury Endorses Vickers Commission Recommendation to Ring-Fence Retail Banking Activities from Investment Banking and Hedge Fund Investments
2011-06-16 20:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-06-16 19:00Jim Hamilton's World of Securities Regulation - SEC Chair Addresses Dodd-Frank Regulatory Arbitrage Concerns at House Oversight Hearing
2011-06-16 18:00Jim Hamilton's World of Securities Regulation - California Extends De Minimis Adviser Exemption For Six Months
2011-06-16 13:30Jim Hamilton's World of Securities Regulation - House Financial Services Appropriations Bill Would Eliminate SEC Reserve Fund
2011-06-15 16:30Jim Hamilton's World of Securities Regulation - House Legislation Would Raise 500-Shareholder Threshold to 1000 and Exclude Accredited Investors
2011-06-15 16:00Jim Hamilton's World of Securities Regulation - House Legislation Would Raise 500-Shareholder Threshold to 1000 and Exclude Accredited Investors
2011-06-15 12:30Jim Hamilton's World of Securities Regulation - NASAA Revises Proposed Model Rule for Exempt Reporting Advisers
2011-06-15 12:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-15 11:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Seeks IRS Guidance on Impact of Foreign Account Tax Compliance Act
2011-06-14 23:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-14 21:00Jim Hamilton's World of Securities Regulation - Global Banking Associations Urge Flexibility in IRS Regulations Implementing FATCA
2011-06-14 19:00Jim Hamilton's World of Securities Regulation - Hong Kong High Court Imposes Fiduciary Duty on Company Directors in Issuing New Shares
2011-06-14 13:00Jim Hamilton's World of Securities Regulation - European Commission Concerned About Reach of Foreign Account Tax Compliance Act
2011-06-14 12:30Jim Hamilton's World of Securities Regulation - European Commission Concerned About Reach of Foreign Account Tax Compliance Act
2011-06-13 16:30Jim Hamilton's World of Securities Regulation - Commissioner Paredes Cautions on Hedge Fund Regulation
2011-06-13 14:30Jim Hamilton's World of Securities Regulation - House Ag Chairman Lucas Asks CFTC to Clarify Issues around July 16 Effective Date of Title VII of Dodd-Frank
2011-06-13 10:30Jim Hamilton's World of Securities Regulation - Supreme Court Rules Fund Adviser Not Liable for Any Misstatements in Fund Prospectus; Strongly Reaffirms Central Bank
2011-06-12 01:00Jim Hamilton's World of Securities Regulation - Portman Amendment to Economic Revitalization Act Would Extend Unfunded Mandates Reform Act to SEC and CFTC
2011-06-11 19:00Jim Hamilton's World of Securities Regulation - Portman Amendment to Economic Revitalization Act Would Extend Unfunded Mandates Reform Act to SEC and CFTC
2011-06-11 18:00Jim Hamilton's World of Securities Regulation - Specter of Dual Registration for Advisers Leads MFA to Ask CFTC Not to Rescind Private Pool Exemptions
2011-06-11 17:30Jim Hamilton's World of Securities Regulation - Specter of Dual Registration for Advisers Leads MFA to Ask CFTC Not to Rescind Private Pool Exemptions
2011-06-10 18:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Says Dodd-Frank Liquidation Authority Should be Used Sparingly
2011-06-10 15:30Jim Hamilton's World of Securities Regulation - Calling Deregulation a Mistake, German Finance Minister Reflects on the Nature of the Financial Markets
2011-06-10 14:30Jim Hamilton's World of Securities Regulation - CAQ Sees Need to Educate Investors about the Public Audit Process
2011-06-10 13:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Sees Problems with Proposed EU Financial Transactions Tax
2011-06-09 20:30Jim Hamilton's World of Securities Regulation - Securities Industry Comments on Pending IRS Draft Regulations under Foreign Account Tax Compliance Act
2011-06-09 20:00Jim Hamilton's World of Securities Regulation - Securities Industry Comments on Pending IRS Draft Regulations under Foreign Account Tax Compliance Act
2011-06-09 18:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-09 13:30Jim Hamilton's World of Securities Regulation - Tester-Corker Amendment to Delay Dodd-Frank Interchange Fee Regulations Defeated in Senate
2011-06-09 13:00Jim Hamilton's World of Securities Regulation - US Senators and Rep. Frank Urge SEC to Exclude Banks from Municipal Advisor Regulatory Regime
2011-06-09 00:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-08 19:30Jim Hamilton's World of Securities Regulation - Revlon Duties Satisfied, Delaware Chancery Court Refuses to Enjoin Half-Stock, Half-Cash Merger
2011-06-08 14:00Jim Hamilton's World of Securities Regulation - Investment Company Institute Urges IRS to Clarify Effect of Dodd-Frank Changes to IRC Sec. 1256 Derivatives Contracts
2011-06-08 13:30Jim Hamilton's World of Securities Regulation - Tester-Corker Amendment to Dodd-Frank Interchange Fee Provisions Would Delay Implementation Pending Fed Study
2011-06-08 11:00Jim Hamilton's World of Securities Regulation - Tester-Corker Amendment to Dodd-Frank Interchange Fee Provisions Would Delay Implementation Pending Fed Study
2011-06-07 19:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-06-07 15:30Jim Hamilton's World of Securities Regulation - SEC Staff Would Not Object to Fund Acquisition of Shares of Foreign Funds in Excess of 1940 Act Limits
2011-06-07 15:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks IRS for Guidance on Safe Harbors for Passive Non-US Investors
2011-06-07 11:30Jim Hamilton's World of Securities Regulation - Comment Period on Dodd-Frank Proposed Risk Retention Regulations Extended until August 1
2011-06-06 16:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-06 14:30Jim Hamilton's World of Securities Regulation - Secretary Geithner Calls for Global Standards for Margin on Derivatives to Buttress Central Clearing
2011-06-06 11:00Jim Hamilton's World of Securities Regulation - Supreme Court Rules that Securities Fraud Plaintiffs Do Not Have to Prove Loss Causation to Obtain Class Certification
2011-06-05 22:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-05 20:00Jim Hamilton's World of Securities Regulation - Proposed Regulations on Incentive-Based Compensation Raise Corporate Governance and Accounting Concerns Says Big Four Firm
2011-06-05 15:00Jim Hamilton's World of Securities Regulation - House Committee Explores Differences between Tax and Financial Statement Accounting as Part of Overall Tax Code Reform
2011-06-04 01:00Jim Hamilton's World of Securities Regulation - EU Commissioner Barnier Calls for Consistent Cross-Border Derivatives Regulation
2011-06-03 16:30Jim Hamilton's World of Securities Regulation - EU Commissioner Barnier Calls for Consistent Cross-Border Derivatives Regulation
2011-06-03 12:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-03 12:00Jim Hamilton's World of Securities Regulation - Large House Delegation Urges SEC and Bank Agencies to Make Risk Retention Regulations Less Proscriptive
2011-06-03 08:30Jim Hamilton's World of Securities Regulation - PCAOB Plans Concept Releases on Audit Report and Auditor Independence
2011-06-02 21:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-06-02 19:30Jim Hamilton's World of Securities Regulation - Futures and Securities Industry Groups Ask CFTC to Repropose Dodd-Frank Derivatives Regulations
2011-06-02 14:30Jim Hamilton's World of Securities Regulation - Treasury Secretary Geithner Underscores Focus on Basel and Derivatives Regulation to EU Commissioner Barnier
2011-06-02 13:30Jim Hamilton's World of Securities Regulation - Securities and Futures Industry Groups Ask SEC to Repropose Dodd-Frank Derivatives Regulations
2011-06-02 12:00Jim Hamilton's World of Securities Regulation - Securities and Futures Industry Groups Ask SEC to Repropose Dodd-Frank Derivatives Regulations
2011-06-01 12:30Jim Hamilton's World of Securities Regulation - Senators Posit that Proposed Dodd-Frank Risk Retention Regulations Go Beyond Legislative Intent
2011-06-01 12:00Jim Hamilton's World of Securities Regulation - Senators Posit that Proposed Dodd-Frank Risk Retention Regulations Go Beyond Legislative Intent

 

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