Click a link below to view the mailing archive as if it had been sent to you. . 2011-09-30 15:30 Jim Hamilton's World of Securities Regulation - SEC Report on Credit Rating Agencies Finds Them Trending Even More to Issuer Pay Model. 2011-09-30 01:30 Jim ...
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Jim Hamiltons World of Securities Regulation Archive for September, 2011

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2011-09-30 15:30Jim Hamilton's World of Securities Regulation - SEC Report on Credit Rating Agencies Finds Them Trending Even More to Issuer Pay Model
2011-09-30 01:30Jim Hamilton's World of Securities Regulation - SEC Staff Gives Assurances to Advisers Keeping Alternate Records under Pay to Play Advisers Act Recordkeeping Rule
2011-09-30 01:00Jim Hamilton's World of Securities Regulation - CAQ and the CII Oppose Pending House Legislation Raising the Public Float Exemption for Compliance with Sarbanes-Oxley 404(b)
2011-09-29 17:30Jim Hamilton's World of Securities Regulation - Senior Fed Official Would Require Money Market Funds to Have Capital-Like Buffer
2011-09-29 10:30Jim Hamilton's World of Securities Regulation - Shelby Legislation Would Create Council of Agency Chief Economists and Change Standard of Judicial Review of Federal Financial Regulations
2011-09-29 02:30Jim Hamilton's World of Securities Regulation - This Term, Supreme Court Will Decide Scope of Equitable Tolling under Exchange Act Short-Swing Trading Provision Two-Year Limitations Period
2011-09-28 22:30Jim Hamilton's World of Securities Regulation - European Commission Proposes Financial Transactions Tax for the EU
2011-09-28 06:30Jim Hamilton's World of Securities Regulation - SEC Enforcement Director Responds to Senator Grassley's Inquiry on Document Retention for Matters Under Inquiry
2011-09-28 06:00Jim Hamilton's World of Securities Regulation - Citing Executive Order, House Chairman Asks IRS to Justify Proposed Regulation Requiring Banks to Disclose Interest Paid to Non-Resident Aliens
2011-09-27 06:00Jim Hamilton's World of Securities Regulation - Int'l Securities Associations Seek Changes in FATCA to Alleviate Compliance Burdens
2011-09-26 20:00Jim Hamilton's World of Securities Regulation - House Democrats Urge SEC to Quickly Finish Dodd-Frank Conflict Minerals Regulations and Use OECD Due Diligence Guidelindes
2011-09-26 12:00Jim Hamilton's World of Securities Regulation - Collins Legislation Would Mandate One-Year Moratorium on Significant Federal Regulations
2011-09-25 17:00Jim Hamilton's World of Securities Regulation - Federal Legislation Would Curb Excessive Energy Derivatives Position Limits and Define Excessive Speculation
2011-09-25 01:30Jim Hamilton's World of Securities Regulation - Federal Court Rules that Plaintiff Stated a Claim for Breach of Duty of Loyalty in Wake of Shareholder Negative Say-on-Pay Vote
2011-09-24 16:30Jim Hamilton's World of Securities Regulation - SEC Official Discusses 404(b) as Draft Legislation Would Exempt Companies with up to $500 million Market Cap from 404(b)
2011-09-24 14:00Jim Hamilton's World of Securities Regulation - Chamber of Commerce Urges SEC Modernization Act Changes to Set Specific Objectives for SEC
2011-09-24 00:30Jim Hamilton's World of Securities Regulation - Citing Hocking Opinion, SEC Contends in Ninth Circuit Amicus Brief that Sale and Rental of Hotel Rooms Were Investment Contracts
2011-09-23 23:30Jim Hamilton's World of Securities Regulation - UK Minister Urges Institutional Investors to Help Enhance Corporate Governance
2011-09-23 23:00Jim Hamilton's World of Securities Regulation - Singapore Exchange Listing Standards Enhanced for Corporate Governance, Outside Auditor Must Be Registered with Oversight Body
2011-09-23 17:30Jim Hamilton's World of Securities Regulation - In Letter to Treasury, Securities and Fund Industries Oppose Financial Transactions Tax as Part of Deficit Reduction Legislation
2011-09-22 21:00Jim Hamilton's World of Securities Regulation - Senator Shelby Introduces Legislation Reforming Federal Financial Regulatory Process
2011-09-22 16:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Legislation Would Completely Revamp the Federal Regulatory and Rulemaking Process
2011-09-22 07:00Jim Hamilton's World of Securities Regulation - State Securitiies Officials Concerned with Legislation Lifting General Solicitation Ban in Rule 506 of Regulation D
2011-09-21 22:00Jim Hamilton's World of Securities Regulation - Federal Court Rules Dodd-Frank Did Not Alter Federal Preemption Standard
2011-09-21 15:00Jim Hamilton's World of Securities Regulation - EU Commissioner Barnier Says Independence, Audit Concentration and the Efficacy of the Audit Report Will Inform EU Audit Reform Proposals
2011-09-21 04:30Jim Hamilton's World of Securities Regulation - Legislation Would Allow General Solicitations under Rule 506 of Reg D, SEC Official Tells House of Possible Concept Release
2011-09-21 04:00Jim Hamilton's World of Securities Regulation - SEC Corp Fin Director Cross to Tell House that Staff Conducting Study of 12(g) 500-Shareholder Trigger Akin to Special Study
2011-09-20 08:30Jim Hamilton's World of Securities Regulation - Securities Industry Applauds DOL Decision to Repropose Fiduciary Standard Rule Changes
2011-09-19 23:00Jim Hamilton's World of Securities Regulation - Obama Administration Says Deficit Reduction Should Include Financial Crisis Responsibility Fee and End LIFO Accounting
2011-09-19 19:00Jim Hamilton's World of Securities Regulation - SIFMA Supports Uniform Fiduciary Standard for Brokers and Advisers in House Testimony
2011-09-19 10:30Jim Hamilton's World of Securities Regulation - NASAA Continues Waiver of IARD System Fees
2011-09-19 09:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Opposes Legislation Authorizing SRO for Investment Advisers
2011-09-17 18:00Jim Hamilton's World of Securities Regulation - Former Commissioner Atkins Cautions that Legislative Reorganization of the SEC Should Avoid Prescriptive Measures
2011-09-17 00:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Senate Legislation Would Raise SEC Reg A Exemption to $50 Million
2011-09-16 22:30Jim Hamilton's World of Securities Regulation - White House Supports Crowdfunding as Capital Raising Technique as Part of Jobs Initiative
2011-09-16 20:00Jim Hamilton's World of Securities Regulation - Jim Hamilton's World of Securities Regulation
2011-09-16 09:00Jim Hamilton's World of Securities Regulation - DELAWARE Reorganizes Securities Act
2011-09-16 00:30Jim Hamilton's World of Securities Regulation - Toronto Stock Exchange Would Require Listed Companies to Explain Why No Majority Voting
2011-09-15 21:00Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Has Concerns with House Draft Legislation Impacting Rulemaking
2011-09-15 16:00Jim Hamilton's World of Securities Regulation - Senate Appropriators Increase SEC FY2012 Budget by 19 Percent, Setting Up Battle with House
2011-09-14 17:00Jim Hamilton's World of Securities Regulation - Arkansas Proposes Securities Rule Amendments
2011-09-13 21:00Jim Hamilton's World of Securities Regulation - FINRA's Ketchum Discusses House Draft Authorizing SRO for Investment Advisers
2011-09-13 18:00Jim Hamilton's World of Securities Regulation - SEC Commissioner Supports "Swift and Decisive" Action on an Adviser SRO
2011-09-12 21:30Jim Hamilton's World of Securities Regulation - Carried Interest Provisions Are Key Revenue Raising Offset Provisions in American Jobs Act
2011-09-12 21:00Jim Hamilton's World of Securities Regulation - Rep. Schweikert Says Now in the Time to Enact Legislation Enhancing Capital Formation
2011-09-12 19:00Jim Hamilton's World of Securities Regulation - SEC Staff Reports to Congress on Consultant's Organizational Reform Study
2011-09-10 22:30Jim Hamilton's World of Securities Regulation - FINRA and State Securities Officials Will Testify at House Hearings on Legislation Creating Investment Adviser SRO
2011-09-09 13:00Jim Hamilton's World of Securities Regulation - Chairman Bachus Asks Treasury for Report on FSOC Efforts to Streamline Dodd-Frank Regulatory Regime
2011-09-09 11:30Jim Hamilton's World of Securities Regulation - Massachusetts Clarifies Policy on IA Expert Network Services
2011-09-09 11:00Jim Hamilton's World of Securities Regulation - Chairman Bachus Will Introduce Legislation Creating SRO for Investment Advisers under SEC Oversight
2011-09-08 15:30Jim Hamilton's World of Securities Regulation - House Legislation Would Clarify Scope of Dodd-Frank Municipal Advisor Mandates
2011-09-08 13:00Jim Hamilton's World of Securities Regulation - House Legislation Would Foster Natural Evolution of Swap Execution Facilities
2011-09-08 11:00Jim Hamilton's World of Securities Regulation - SEC Seeks Comment on Plan to Review Regulations
2011-09-08 10:30Jim Hamilton's World of Securities Regulation - House Leaders Link Passage of Legislation Changing Governance of the CFPB to Job Creation
2011-09-07 12:00Jim Hamilton's World of Securities Regulation - Securities Industry Urges Second Circuit to Find No Implied Private Right of Action under Rule 10b-16
2011-09-07 08:00Jim Hamilton's World of Securities Regulation - SEC Will Not Ask for DC Circuit Rehearing of Proxy Access Ruling or Appeal it to Supreme Court
2011-09-06 18:00Jim Hamilton's World of Securities Regulation - Banking Committee Republicans Cite Lack of CFPB Accountability in Senate Hearings on Director Confirmation
2011-09-06 13:15Jim Hamilton's World of Securities Regulation - ABA Committee Urges SEC to Maintain Stay on Rule 14a-8 and Consider Reproposal in Wake of DC Circuit Proxy Access Ruling
2011-09-06 12:30Jim Hamilton's World of Securities Regulation - US and German Law Professors Argue that Hedge Funds Should Have No Rule 10b-5 Action Based on Swap Agreements Referencing German Company's Stock
2011-09-05 16:30Jim Hamilton's World of Securities Regulation - SEC Proposed Regulations on Conflict Minerals Disclosure Reference OECD Due Diligence Guidelines
2011-09-05 14:30Jim Hamilton's World of Securities Regulation - Revised UK Takeover Code Ensuring Fair and Equal Treatment of Shareholders Takes Effect in September
2011-09-04 16:30Jim Hamilton's World of Securities Regulation - European Directors Confederation Endorses Comply or Explain Approach to Corporate Governance in Comments on Green Paper
2011-09-04 13:00Jim Hamilton's World of Securities Regulation - FASB Revises Standard for Testing Goodwill Impairment
2011-09-04 12:00Jim Hamilton's World of Securities Regulation - IASB Proposes to Except Investment Pools from Consolidated Financial Statements
2011-09-03 12:00Jim Hamilton's World of Securities Regulation - UK Regulator Will Improve Independent Audit Report and Enhance Role of Audit Committees
2011-09-02 19:30Jim Hamilton's World of Securities Regulation - GSE Conservator Alleges Securities Law Violations Against Financial Institutions Selling Mortgage-Backed Securities
2011-09-02 16:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Comments on SEC Proposed Business Conduct Standards for Security-Based Swap Dealers and Major Participants
2011-09-01 17:30Jim Hamilton's World of Securities Regulation - Indiana Continues Exemption from IA Registration for Private Equity/Venture Capital Funds
2011-09-01 16:30Jim Hamilton's World of Securities Regulation - Indiana Relaxes Prohibition on Performance-Based Fees for Hedge Funds Following Dodd-Frank Act
2011-09-01 12:00Jim Hamilton's World of Securities Regulation - House Oversight Chairs Want No Significant Rulemaking Until SEC at Full Strength

 

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