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| 2011-07-31 13:30 | | Jim Hamilton's World of Securities Regulation - Debt Ceiling Legislation Has No Revenue Raisers, But Sets Up Joint Congressional Committee to Draft Legislation on Deficit Reduction |
| 2011-07-29 19:00 | | Jim Hamilton's World of Securities Regulation - Securities Industry Asks DOL to Coordinate with SEC on Redefining ERISA Fiduciary |
| 2011-07-29 12:30 | | Jim Hamilton's World of Securities Regulation - Kansas Adopts Domestic Issuer Exemption |
| 2011-07-29 11:30 | | Jim Hamilton's World of Securities Regulation - In Letter to Senate Banking Committee Leaders, CEOs Support Cordray Nomination as CFPB Director |
| 2011-07-28 20:00 | | Jim Hamilton's World of Securities Regulation - CFPB Official Tells Congress Bureau Will Help Small Businesses Not Burden Them |
| 2011-07-28 16:00 | | Jim Hamilton's World of Securities Regulation - Georgia Provides Broker-Dealer/Agent Application Requirement Checklist |
| 2011-07-28 14:00 | | Jim Hamilton's World of Securities Regulation - Federal Judge Rules on Investor Federal Securities Claims Against Outside Auditor of Lehman Financial Statements |
| 2011-07-27 15:00 | | Jim Hamilton's World of Securities Regulation - Raj Date to Replace Prof. Warren as Treasury Special Advisor on the CFPB |
| 2011-07-27 13:30 | | Jim Hamilton's World of Securities Regulation - House Leaders Note EU Rating Reform Efforts as Comm. Barnier Launches Broad Reforms |
| 2011-07-27 12:00 | | Jim Hamilton's World of Securities Regulation - SEC Official Details Efforts to Reform Rating Agencies to a Congressional Panel Concerned with International Coordination |
| 2011-07-27 10:00 | | Jim Hamilton's World of Securities Regulation - Virginia Proposes Private Adviser Exemption |
| 2011-07-26 19:00 | | Jim Hamilton's World of Securities Regulation - Hong Kong SFC Enforcement Director Discusses Criminal vs Civil Actions in Market Misconduct Cases and Use of Sec. 213 |
| 2011-07-26 17:30 | | Jim Hamilton's World of Securities Regulation - Kansas Provides Temporary Exemption for IAs Following Dodd-Frank 7/21/2011 Effective Date |
| 2011-07-26 15:30 | | Jim Hamilton's World of Securities Regulation - UK Regulator Endorses Comply-or-Explain Principle in Comments on Corporate Governance Green Paper |
| 2011-07-26 13:00 | | Jim Hamilton's World of Securities Regulation - UK FSA Official Views Proposed Regulations under EU Hedge Fund Directive |
| 2011-07-25 18:00 | | Jim Hamilton's World of Securities Regulation - Kansas Monitoring SEC Developments Following Dodd-Frank |
| 2011-07-24 22:30 | | Jim Hamilton's World of Securities Regulation - District of Columbia Sets Forth Procedures for D.C. Advisers Following Dodd-Frank |
| 2011-07-24 19:00 | | Jim Hamilton's World of Securities Regulation - Missouri Advises IAs to 3(c)(1) and (7) Funds Through No-Action Letter |
| 2011-07-24 14:00 | | Jim Hamilton's World of Securities Regulation - Floor Amendments to Legislation Restructuring CFPB Would Improve Transparency, Prevent Conflicts of Interest and Address Language Barriers |
| 2011-07-23 17:00 | | Jim Hamilton's World of Securities Regulation - UK Regulators Emphasize Continued Relevance of True and Fair Principle under GAAP and IFRS |
| 2011-07-23 15:00 | | Jim Hamilton's World of Securities Regulation - Joint SEC, CFTC, Fed Report Outlines Fed's Role under Dodd-Frank in Oversight of Systemically Important Clearing Entities |
| 2011-07-22 13:30 | | Jim Hamilton's World of Securities Regulation - Appeals Court Panel Vacates SEC Proxy Access Rule as Arbitrary and Capricious |
| 2011-07-22 12:30 | | Jim Hamilton's World of Securities Regulation - Louisiana Adopts Supervisory Requirement for Dealers, IAs and FCAs |
| 2011-07-21 21:30 | | Jim Hamilton's World of Securities Regulation - House Passes Legislation Restructuring Bureau of Consumer Financial Protection |
| 2011-07-21 20:30 | | Jim Hamilton's World of Securities Regulation - Proposed Regulations Would Require Individual Employee Limits on Stock Options to Qualify as Performance-Based under Ôö£éÔö¼??162(m) |
| 2011-07-21 13:30 | | Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Outlines Impact of Proposed Appropriations for SEC at Senate Hearings |
| 2011-07-21 12:00 | | Jim Hamilton's World of Securities Regulation - House Ag Committee Chair Warns of Diverging SEC and CFTC Dodd-Frank Derivatives Regimes |
| 2011-07-20 19:30 | | Jim Hamilton's World of Securities Regulation - President Would Veto Legislation Restructuring Governance of Consumer Financial Protection Bureau |
| 2011-07-20 16:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-07-19 18:30 | | Jim Hamilton's World of Securities Regulation - Virginia Issues Policy on Private Advisers Choosing Not to Register in Virginia by July 21, 2011 |
| 2011-07-19 16:30 | | Jim Hamilton's World of Securities Regulation - Corporation Finance Division Issues Interpretations on Executive Compensation Disclosure, Including Shareholder Advisory Votes |
| 2011-07-19 12:00 | | Jim Hamilton's World of Securities Regulation - House Passes Legislation Expanding Securities Law Exemption for Church Pension Plans to Invest in Collective Trusts |
| 2011-07-19 11:30 | | Jim Hamilton's World of Securities Regulation - CFPB Director Nomination Hits Strong Opposition in Senate; Legislation Would Change Bureau to Commission Form of Governance |
| 2011-07-18 20:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-07-18 19:00 | | Jim Hamilton's World of Securities Regulation - Georgia Fine Tunes BD and Agent Registration Requirements |
| 2011-07-18 16:30 | | Jim Hamilton's World of Securities Regulation - Connecticut Releases Three Dodd-Frank Related Orders |
| 2011-07-18 14:30 | | Jim Hamilton's World of Securities Regulation - President Would Veto Spending Bill Undermining SEC's Ability to Implement Dodd-Frank Provisions |
| 2011-07-18 13:00 | | Jim Hamilton's World of Securities Regulation - Senate Legislation Would Align Financial Accounting for Stock Options with Federal Tax Code and Include Options in Ôö£éÔö¼??162(m) Cap |
| 2011-07-16 13:30 | | Jim Hamilton's World of Securities Regulation - Ohio Delays Setting "IA Switch" Date |
| 2011-07-16 13:00 | | Jim Hamilton's World of Securities Regulation - California Invites Comments on IA Custody Pre-Proposed Rule |
| 2011-07-16 12:00 | | Jim Hamilton's World of Securities Regulation - Ohio Eliminates Consent to Service of Process from Rule 506 Filings |
| 2011-07-16 11:30 | | Jim Hamilton's World of Securities Regulation - South Dakota Interprets IA Exemption Rule 20:08:05:15 (2) |
| 2011-07-15 19:00 | | Jim Hamilton's World of Securities Regulation - Senators Oppose Repeal of Dodd-Frank Pay Ratio Provisions |
| 2011-07-14 19:00 | | Jim Hamilton's World of Securities Regulation - Former SEC Chief Accountant Says Dodd-Frank Act Enhances Investor Protection; SEC Got Whistleblower Rules Right |
| 2011-07-14 13:30 | | Jim Hamilton's World of Securities Regulation - Puerto Rico Securities Website Permits Check on BDs', Agents', IAs' and Securities' Registration Status to Do Business in Puerto Rico |
| 2011-07-13 19:30 | | Jim Hamilton's World of Securities Regulation - Senate Legislation Would Close Credit Default Swap Tax Loophole and Increase Off-Shore Disclosure |
| 2011-07-13 19:00 | | Jim Hamilton's World of Securities Regulation - Regulators Urged to Treat Banks with Limited Swaps Activities as End Users under Dodd-Frank and Exempt Them from Margin Rules |
| 2011-07-13 18:30 | | Jim Hamilton's World of Securities Regulation - Dodd-Frank Mandated GAO Report Finds Challenge for Regulators in Obtaining Data on Proprietary Trading |
| 2011-07-13 15:30 | | Jim Hamilton's World of Securities Regulation - NASAA Backs SEC Proposals on Performance Compensation |
| 2011-07-12 21:00 | | Jim Hamilton's World of Securities Regulation - NASAA Opens Registration for 94th Annual Conference in Wichita |
| 2011-07-12 18:00 | | Jim Hamilton's World of Securities Regulation - NASAA Opens Registration for 94th Annual Conference in Wichita |
| 2011-07-11 17:00 | | Jim Hamilton's World of Securities Regulation - UK Adopts Regulations Implementing Prospectus Directive Amendments Raising Thresholds |
| 2011-07-11 14:00 | | Jim Hamilton's World of Securities Regulation - President Issues Executive Order to SEC, CFTC and Other Independent Agencies to Identify Excessively Burdensome Regulations |
| 2011-07-11 12:30 | | Jim Hamilton's World of Securities Regulation - SEC Staff Provides Guidance on Waivers of Ineligible Issuer Status for Well-Known Seasoned Issuers |
| 2011-07-11 12:00 | | Jim Hamilton's World of Securities Regulation - Missouri Advisory Release Summarizes Dodd-Frank "Mid-Sized" and "Private Fund" Adviser Provisions |
| 2011-07-10 15:30 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Supports SEC Proposals Implementing Dodd-Frank Qualified Investor Provisions |
| 2011-07-10 13:30 | | Jim Hamilton's World of Securities Regulation - Basel Committee Issues Risk Management Principles Relying on Board and Senior Manager Involvement |
| 2011-07-08 15:00 | | Jim Hamilton's World of Securities Regulation - Securities Industry Urges SEC to Narrowly Tailor Proposed Swap Anti-Manipulation Rule and Provide Safe Harbor |
| 2011-07-08 14:00 | | Jim Hamilton's World of Securities Regulation - Securities Industry Urges SEC to Narrowly Tailor Proposed Swap Anti-Manipulation Rule and Provide Safe Harbor |
| 2011-07-08 11:30 | | Jim Hamilton's World of Securities Regulation - In Letter to Treasury, Senators Carper and Warner Explain Legislative History of Dodd-Frank Preemption Statute |
| 2011-07-07 21:00 | | Jim Hamilton's World of Securities Regulation - References to Credit Rating Agencies Stripped from Federal Tax Regulations per Dodd-Frank Mandate |
| 2011-07-07 20:30 | | Jim Hamilton's World of Securities Regulation - References to Credit Rating Agencies Stripped from Federal Tax Regulations per Dodd-Frank Mandate |
| 2011-07-07 15:00 | | Jim Hamilton's World of Securities Regulation - IASB Independence Concerns Voiced at SEC IFRS Roundtable; Chairman Schapiro Sees Danger of Differing Jurisdiction-Specific Interpretations |
| 2011-07-07 11:00 | | Jim Hamilton's World of Securities Regulation - Kentucky Adopts Amendments to IA Post-Licensing Requirements |
| 2011-07-07 10:30 | | Jim Hamilton's World of Securities Regulation - New Jersey Issues Exam Waiver for IA Reps |
| 2011-07-06 17:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-07-06 15:00 | | Jim Hamilton's World of Securities Regulation - Germany Reiterates Commitment to Voluntary Corporate Governance Code Based on Principle of Comply or Explain |
| 2011-07-06 13:30 | | Jim Hamilton's World of Securities Regulation - US Senators Seek Reproposal of Dodd-Frank Risk Retention Regulations |
| 2011-07-05 21:00 | | Jim Hamilton's World of Securities Regulation - North Carolina Amends Investment Company Notice Filing Fee |
| 2011-07-05 15:30 | | Jim Hamilton's World of Securities Regulation - North Carolina Amends Investment Company Notice Filing Fee |
| 2011-07-05 15:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-07-05 14:00 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks SEC to Consider Any Changes to Beneficial Ownership Regime in Broad Reform Context |
| 2011-07-05 11:30 | | Jim Hamilton's World of Securities Regulation - NASAA Proposes Model Franchise Exemptions |
| 2011-07-04 20:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-07-04 19:30 | | Jim Hamilton's World of Securities Regulation - SEC Extends Temporary Rules Exempting Credit Default Swaps Cleared by Central Counterparties until April 16, 2012 |
| 2011-07-04 18:00 | | Jim Hamilton's World of Securities Regulation - State Banking Groups Urge SEC to Clarify that Banks Providing Traditional Services Not Required to Register as Municipal Advisors |
| 2011-07-01 20:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-07-01 16:00 | | Jim Hamilton's World of Securities Regulation - SEC Provides More Guidance and Exemptions for Security-Based Swaps under Dodd-Frank |
| 2011-07-01 15:30 | | Jim Hamilton's World of Securities Regulation - SEC Proposes Business Conduct Standards for Swap Dealers and Major Swap Participants |
| 2011-07-01 05:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
