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| 2011-10-31 22:00 | | Jim Hamilton's World of Securities Regulation - UK Audit Regulator Comments on PCAOB Concept Release on the Audit Report |
| 2011-10-31 19:30 | | Jim Hamilton's World of Securities Regulation - PCAOB Moving in Step with International Counterparts to Reform Financial Audit Says Member Harris |
| 2011-10-31 14:00 | | Jim Hamilton's World of Securities Regulation - Washington State Sets Forth 2012 Renewal Procedure for Investment Advisers |
| 2011-10-31 12:30 | | Jim Hamilton's World of Securities Regulation - PCAOB Chair Examines Board Broker-Dealer Audit Oversight, Hints that Introducing Brokers May Be Exempted |
| 2011-10-30 13:30 | | Jim Hamilton's World of Securities Regulation - GAO Report Urges IRS, SEC and CFTC to Develop Information-Sharing Arrangements on Financial Derivatives |
| 2011-10-28 19:00 | | Jim Hamilton's World of Securities Regulation - Sarbanes-Oxley Whistleblower Provision Not Limited to Allegations of Fraud against Shareholders Says SEC Amicus Brief |
| 2011-10-28 13:30 | | Jim Hamilton's World of Securities Regulation - House Legislation Reforming Mortgage Securitization Would Abolish Dodd-Frank Risk Retention Provisions |
| 2011-10-28 12:00 | | Jim Hamilton's World of Securities Regulation - Federal Judge Questions SEC-Citigroup Settlement, Asks if Proposed Penalty Is Meaningful Deterrent |
| 2011-10-27 20:30 | | Jim Hamilton's World of Securities Regulation - Senator and Congressman Query FSOC on Transfer of Complex Derivatives from Securities Arm to Retail Bank Within Large Financial Institution |
| 2011-10-27 15:00 | | Jim Hamilton's World of Securities Regulation - SEC Officials Discuss Int'l Securities Regulation Issues at ABA-Hosted Seminar |
| 2011-10-27 13:00 | | Jim Hamilton's World of Securities Regulation - SEC Orders FINRA to Improve Internal Compliance Policies and Procedures |
| 2011-10-27 10:30 | | Jim Hamilton's World of Securities Regulation - Washington State Provides Notice on IA Switch to State Registration |
| 2011-10-26 21:00 | | Jim Hamilton's World of Securities Regulation - Legislation Allowing General Solicitation under SEC Rule 506 of Reg D Approved by House Financial Services Committee |
| 2011-10-26 17:30 | | Jim Hamilton's World of Securities Regulation - House Financial Services Committee Reports Out Legislation Raising 500-Shareholder Limit |
| 2011-10-26 14:00 | | Jim Hamilton's World of Securities Regulation - House Financial Services Committee Approves Crowdfunding Legislation with Added Investor Protections and Agreement to Preserve State Authority |
| 2011-10-26 13:00 | | Jim Hamilton's World of Securities Regulation - FASB Chair Supports SEC Staff Condorsement Framework as Way to Move Forward on IFRS Adoption |
| 2011-10-25 17:00 | | Jim Hamilton's World of Securities Regulation - South Dakota Adopts Amendment to IA Private Adviser Exemption |
| 2011-10-25 15:00 | | Jim Hamilton's World of Securities Regulation - Senators Franken and Wicker Urge SEC to Implement Their Amendment to Reduce Conflict of Interest in Assigned Credit Ratings |
| 2011-10-25 12:30 | | Jim Hamilton's World of Securities Regulation - Implementing Pension Protection Act Exemption, DOL Regulation Allows Fiduciary Investment Advisers to Advise 401(k) Participants |
| 2011-10-25 11:30 | | Jim Hamilton's World of Securities Regulation - Texas Proposes IA Custody Rule and Amendments to Advisory Fee and Written Exam Rules |
| 2011-10-24 15:30 | | Jim Hamilton's World of Securities Regulation - European Commission Proposes Derivatives Regulatory Regime by Revising MiFID and Adopting EMIR |
| 2011-10-23 16:30 | | Jim Hamilton's World of Securities Regulation - Former Fed Chair Volcker Calls On Congress and the Regulators to Complete Financial Market Reforms, Comments on UK Vickers Report |
| 2011-10-23 13:00 | | Jim Hamilton's World of Securities Regulation - G-20 Finance Ministers and Central Bankers Support Globally Consistent Derivatives Regulation and Int'l Accounting Standards |
| 2011-10-22 18:00 | | Jim Hamilton's World of Securities Regulation - In Supreme Court Amicus Brief: Securities Industry and Chamber Contend that Section 16(b) Limitations Period Is a Period of Repose |
| 2011-10-22 16:00 | | Jim Hamilton's World of Securities Regulation - Financial Stability Board Report: Compensation Committees are Integral to Reforming Executive Compensation |
| 2011-10-21 19:00 | | Jim Hamilton's World of Securities Regulation - Full Financial Services Committee to Vote on Legislation on Crowdfunding, 500-Shareholder Threshold and Regulation D |
| 2011-10-21 14:00 | | Jim Hamilton's World of Securities Regulation - House Financial Services Committee Reiterates that Bi-Partisan Commission Form of Governance Would Enhance CFPB |
| 2011-10-21 12:30 | | Jim Hamilton's World of Securities Regulation - SEC Roundtable on Uncertainty in Financial Reporting Will Likely Examine Fair Value and Uncertain Tax Positions |
| 2011-10-20 20:00 | | Jim Hamilton's World of Securities Regulation - House Democrats Urge SEC to Require Disclosure of Corporate Political Spending to Shareholders |
| 2011-10-20 16:00 | | Jim Hamilton's World of Securities Regulation - Delaware Chancery Court Says Board Special Committee Breached Duty of Loyalty in Deal with Controlling Shareholder |
| 2011-10-20 13:30 | | Jim Hamilton's World of Securities Regulation - 12 US Senators Urge the SEC to Promptly Implement Conflict Minerals Provision of Dodd-Frank |
| 2011-10-19 19:00 | | Jim Hamilton's World of Securities Regulation - Proposed Regulations Condition Sec. 162(m) Performance-Based Compensation on Specifying Individual Employee Option and SAR Grants |
| 2011-10-19 14:30 | | Jim Hamilton's World of Securities Regulation - Views of Former SEC Chairs on Auditor Rotation Relevant as PCAOB and European Commission Consider the Concept |
| 2011-10-19 12:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-10-18 20:30 | | Jim Hamilton's World of Securities Regulation - UK Corporate Governance Code Amended to Require Annual Report on Boardroom Diversity |
| 2011-10-18 20:00 | | Jim Hamilton's World of Securities Regulation - IASB Chair Makes Compelling Case for US Adoption of IFRS |
| 2011-10-18 12:00 | | Jim Hamilton's World of Securities Regulation - Senators Advise SEC and CFTC on Global Consistency of Derivatives Regulations |
| 2011-10-17 20:00 | | Jim Hamilton's World of Securities Regulation - Chairman Bachus Urges Deficit Reduction Committee to Include Capital Formation Bills in Legislation, Like Crowdfunding and Raising Reg A Exemption |
| 2011-10-17 16:00 | | Jim Hamilton's World of Securities Regulation - Panelists at SEC Roundtable on Clearance and Settlement of Microcap Securities Call for Enhanced Transparency |
| 2011-10-17 10:30 | | Jim Hamilton's World of Securities Regulation - In a 2010 letter |
| 2011-10-15 13:30 | | Jim Hamilton's World of Securities Regulation - Supreme Court Sets Oral Argument and US Files Amicus Brief in Case Involving Tolling of Sec. 16(b) Limitations Period |
| 2011-10-14 21:30 | | Jim Hamilton's World of Securities Regulation - CFTC Chair Gensler Emphasizes Importance of Cross-Border Consistency in Derivatives Regulation |
| 2011-10-14 20:00 | | Jim Hamilton's World of Securities Regulation - House Panel Considers Legislation Changing Dodd-Frank Regulation of Derivatives |
| 2011-10-14 16:00 | | Jim Hamilton's World of Securities Regulation - German Banking Industry Opposes Proposed EU Financial Transactions Tax |
| 2011-10-13 21:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-10-13 20:00 | | Jim Hamilton's World of Securities Regulation - House Democratic Leaders Propose Revenue Raisers such as Risk-Based Fee on Hedge Funds to Deficit Reduction Committee |
| 2011-10-13 16:30 | | Jim Hamilton's World of Securities Regulation - FSOC Proposes Process for Enhanced Regulation of Hedge Funds and Other Nonbank Financial Companies |
| 2011-10-12 21:30 | | Jim Hamilton's World of Securities Regulation - Proposed Volcker Regulations Mandate Compliance Programs with Internal Control, Testing, Recordkeeping and Corporate Governance Elements |
| 2011-10-12 20:00 | | Jim Hamilton's World of Securities Regulation - Proposed Regulations Limit Extraterritorial Application of Volcker Rule Hedge Fund Prohibitions |
| 2011-10-12 15:30 | | Jim Hamilton's World of Securities Regulation - Broad Definition of Ownership Interest in Proposed Volcker Regulations Would Exempt Carried Interest |
| 2011-10-12 14:00 | | Jim Hamilton's World of Securities Regulation - SEC and Banking Agencies Propose Regulations Implementing Dodd-Frank Volcker Rule; Exceptions to Hedge Fund Ban Spelled Out |
| 2011-10-12 08:30 | | Jim Hamilton's World of Securities Regulation - Noting CFTC, Chamber of Commerce Asks FSOC Chair to Ensure that Volcker Rule Regulations Are Consistent and Coordinated |
| 2011-10-11 14:00 | | Jim Hamilton's World of Securities Regulation - President's Jobs Council Urges Relief from Sarbanes-Oxley to Stimulate IPOs |
| 2011-10-11 13:00 | | Jim Hamilton's World of Securities Regulation - House Panel Approves Crowdfunding Legislation to Help Create Jobs |
| 2011-10-11 12:30 | | Jim Hamilton's World of Securities Regulation - Legislation Allowing General Solicitation under SEC Rule 506 of Regulation D Approved by Capital Markets Subcommittee |
| 2011-10-11 12:00 | | Jim Hamilton's World of Securities Regulation - House Panel Advances Bills Raising 500-Shareholder Threshold for Public Companies and Community Banks |
| 2011-10-11 10:30 | | Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Expanding Section 404(b) Exemption from Companies with $75 Million to $350 Million Market Float |
| 2011-10-11 08:00 | | Jim Hamilton's World of Securities Regulation - House Democrats Decry Exceptions to Volcker Ban on Proprietary Trading in Leaked Draft |
| 2011-10-10 17:00 | | Jim Hamilton's World of Securities Regulation - Banking and Financial Services Industries Urge SEC and CFTC to Exclude Stable Value Contracts from Definition of Swap under Dodd-Frank |
| 2011-10-10 15:30 | | Jim Hamilton's World of Securities Regulation - Sec. Geithner Wearing FSOC Chair Hat Responds to House Concerns on Coordinating Dodd-Frank Derivatives Regulations |
| 2011-10-10 12:00 | | Jim Hamilton's World of Securities Regulation - Ohio Proposes Adding Investment Banking Exam for Salespersons |
| 2011-10-09 17:30 | | Jim Hamilton's World of Securities Regulation - Reliance Requirement Hampers Enforcement, NASAA Argues |
| 2011-10-09 13:30 | | Jim Hamilton's World of Securities Regulation - Former SEC Comm. and IASB Oversight Trustee Goldschmid Says US Incorporation of IFRS Is a ``National Imperative'' |
| 2011-10-08 21:00 | | Jim Hamilton's World of Securities Regulation - NASAA Defends States' Review of Crowdfunded Securities |
| 2011-10-08 14:00 | | Jim Hamilton's World of Securities Regulation - Shareholder Could Proceed with Derivative Claim that Proxy Statement Misled on Deductability of Executive Compensation under Federal Tax Code |
| 2011-10-07 17:00 | | Jim Hamilton's World of Securities Regulation - Senate Legislation Would Codify End-User Exemption and Establish Office of Derivatives within the SEC |
| 2011-10-07 11:30 | | Jim Hamilton's World of Securities Regulation - House Oversight Chair Requests Documents on FHFA Litigation against Financial Institutions over Sale of Mortgage-Backed Securities |
| 2011-10-07 11:00 | | Jim Hamilton's World of Securities Regulation - Sen. Grassley Asks Hedge Fund for Records of Communications with FCC |
| 2011-10-06 12:30 | | Jim Hamilton's World of Securities Regulation - Second Circuit Panel Says FINRA Cannot Bring Federal Court Action to Collect Disciplinary Fines Imposed on Members |
| 2011-10-06 11:00 | | Jim Hamilton's World of Securities Regulation - White House Posting Urges Senate to Confirm Richard Cordray as CFPB Director |
| 2011-10-05 12:30 | | Jim Hamilton's World of Securities Regulation - Senior Official Emphasizes Support for Comply-or-Explain Aspect of UK Corporate Governance Code |
| 2011-10-04 16:30 | | Jim Hamilton's World of Securities Regulation - Sen. Sherrod Brown Sees Cordray Confirmation Vote Likely This Week, Sen. Corker Abjures Personality-Based CFPB |
| 2011-10-03 14:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-10-03 13:30 | | Jim Hamilton's World of Securities Regulation - Maine's 2012 IA Licensing Renewal Procedures Available |
| 2011-10-03 12:30 | | Jim Hamilton's World of Securities Regulation - Massachusetts IAs Must Show Positive Net Worth |
| 2011-10-02 12:00 | | Jim Hamilton's World of Securities Regulation - NASAA Proposes to Add Cross-Reference Sheets to Four Registration Guidelines |
