Click a link below to view the mailing archive as if it had been sent to you. . 2011-11-30 22:00 Jim Hamilton's World of Securities Regulation - House Financial Services Committee Approves Legislation Clarifying End User Exemption from Dodd-Frank Margin ...
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Jim Hamiltons World of Securities Regulation Archive for November, 2011

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2011-11-30 22:00Jim Hamilton's World of Securities Regulation - House Financial Services Committee Approves Legislation Clarifying End User Exemption from Dodd-Frank Margin Requirements
2011-11-30 19:00Jim Hamilton's World of Securities Regulation - House Financial Services Committee Approves Bi-Partisan Legislation Exempting Inter-Affiliate Swaps from Dodd-Frank Derivatives Provisions
2011-11-30 14:30Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Asks Senators for Statutory Changes Enhancing the Commission's Enforcement Program
2011-11-30 12:30Jim Hamilton's World of Securities Regulation - Georgia Adopts Revised Securities Rules
2011-11-30 11:30Jim Hamilton's World of Securities Regulation - Chamber of Commerce Supports Expected Legislation Prohibiting PCAOB from Mandating Auditor Rotation
2011-11-29 20:30Jim Hamilton's World of Securities Regulation - IASB Chair Recounts Global Acceptance of IFRS, Says IASB-FASB Convergence Has Served Its Purpose
2011-11-29 18:30Jim Hamilton's World of Securities Regulation - Supreme Court Hears Oral Argument in Case Involving Tolling of Sec. 16(b) Limitations Period
2011-11-29 15:30Jim Hamilton's World of Securities Regulation - Colorado Provides Instructions for Completing IA Switch
2011-11-29 13:30Jim Hamilton's World of Securities Regulation - SEC Staff and Senator Grassley React to Federal Court Rejection of Citigroup Settlement
2011-11-29 12:00Jim Hamilton's World of Securities Regulation - Banking Industry Supports House Legislation on Derivatives Involving End Users, Inter-affiliate Swaps and Swap Execution Facilities.
2011-11-29 11:30Jim Hamilton's World of Securities Regulation - NASAA Announces Coordinated Review for Investment Advisers
2011-11-29 11:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-11-28 17:00Jim Hamilton's World of Securities Regulation - Federal Court Refuses to Approve Settlement of SEC-Citigroup Enforcement Action
2011-11-28 14:30Jim Hamilton's World of Securities Regulation - Michigan FAQ Addresses Investment Adviser Representative Concerns
2011-11-28 14:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-11-28 12:30Jim Hamilton's World of Securities Regulation - Senate Legislation Would Provide Small Companies with Exemption from Sarbanes-Oxley Section 404(b)
2011-11-28 11:00Jim Hamilton's World of Securities Regulation - Hong Kong Securities Regulator Will Amend Code of Conduct to Help Implement Financial Dispute Resolution Center
2011-11-27 15:00Jim Hamilton's World of Securities Regulation - PCAOB Finds Big Four Audit Firm Deficient in Testing Issuer's Fair Value Measurement Procedures and Internal Controls
2011-11-26 18:30Jim Hamilton's World of Securities Regulation - European Parliament Approves Regulation Restricting Short-Selling and Use of Credit Default Swaps
2011-11-26 13:30Jim Hamilton's World of Securities Regulation - European Commission Proposes Enhanced Regulation of Credit Rating Agencies
2011-11-25 12:00Jim Hamilton's World of Securities Regulation - European Commission Refers Germany Back to Court of Justice to Comply with Volkswagen Law Opinion
2011-11-24 14:00Jim Hamilton's World of Securities Regulation - UK Commission Urges Employee Membership on Compensation Committees and Forward-Looking Shareholder Vote on Executive Pay
2011-11-24 11:00Jim Hamilton's World of Securities Regulation - UK FSA Fines and Bans Hedge Fund Compliance Officer For Failure to Act with Care and Diligence
2011-11-23 12:00Jim Hamilton's World of Securities Regulation - SEC Chair Discusses International Implications of Derivatives Regulation at Hedge Fund Seminar
2011-11-22 16:30Jim Hamilton's World of Securities Regulation - Tennessee Issues Policy on Requesting Confidential Treatment for Filings
2011-11-22 15:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-11-22 11:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Senate Legislation Would Enhance Transparency of PCAOB Proceedings
2011-11-21 16:00Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Allowing Pension Plans to Use Swaps to Hedge Risks
2011-11-21 13:00Jim Hamilton's World of Securities Regulation - SEC Staff Compares US GAAP and IFRS as Decision on US Incorporation of IFRS Looms
2011-11-21 11:30Jim Hamilton's World of Securities Regulation - Colorado Increases Mutual Fund/UIT Filing Fees
2011-11-19 13:00Jim Hamilton's World of Securities Regulation - Senate Legislation Would Prohibit Insider Trading by Members of Congress
2011-11-17 22:00Jim Hamilton's World of Securities Regulation - House Panel Approves Bi-Partisan Legislation Repealing Dodd-Frank Bank Swap Push Out Provision
2011-11-17 11:00Jim Hamilton's World of Securities Regulation - Private Equity Groups Ask Deficit Reduction Committee Not to Raise Taxes on Carried Interest
2011-11-16 21:00Jim Hamilton's World of Securities Regulation - House Panel Approves Bi-Partisan Legislation Exempting Inter-Affiliate Swaps from Dodd-Frank Derivatives Regulation
2011-11-16 18:00Jim Hamilton's World of Securities Regulation - House Democrats Urge Rejection of Exemption-Laden Proposed Volcker Regulations as Outside Intent of Dodd-Frank
2011-11-16 13:00Jim Hamilton's World of Securities Regulation - FASB Oversight Body Fears Loss of Sovereignty under Condorsement Approach to IFRS Incorporation
2011-11-15 21:30Jim Hamilton's World of Securities Regulation - UK FSA Official Examines Hedge Fund Regulation under the New EU Directive
2011-11-15 18:30Jim Hamilton's World of Securities Regulation - German Corporate Governance Code Commission Questions EU Proposal for Public Monitoring of Reason for Non-Compliance
2011-11-15 14:30Jim Hamilton's World of Securities Regulation - House Panel Approves Bi-Partisan Legislation Clarifying Swap Execution Facility Provisions of Dodd-Frank
2011-11-15 13:00Jim Hamilton's World of Securities Regulation - European Council Amends Financial Conglomerate Directive
2011-11-14 20:00Jim Hamilton's World of Securities Regulation - Global Hedge Fund Assoc. Concerned about ESMA Proposals on non-EU Hedge Fund Equivalence
2011-11-14 16:30Jim Hamilton's World of Securities Regulation - In Comments to SEC, Hedge Fund Industry Supports SRO Circuit Breaker Rules
2011-11-14 13:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Comments on ESMA Draft Guidelines on Electronic Trading
2011-11-13 14:00Jim Hamilton's World of Securities Regulation - UK Sharman Panel Breaks New Ground on Auditor Going Concern Opinions
2011-11-12 18:00Jim Hamilton's World of Securities Regulation - PCAOB Updates Standing Advisory Group on Comments to Auditor Report Concept Release
2011-11-12 15:30Jim Hamilton's World of Securities Regulation - Senate Legislation Would Raise the 500-Shareholder Threshold and Exempt Banks from Registration as Municipal Advisors
2011-11-11 20:00Jim Hamilton's World of Securities Regulation - GAO Report on Federal Regulatory Process Sees Key Role for FSOC, Notes SEC-CFTC Coordination Efforts
2011-11-11 14:30Jim Hamilton's World of Securities Regulation - PCAOB Standard Advisory Group Discusses Role of Fair Value Pricing Services
2011-11-11 14:00Jim Hamilton's World of Securities Regulation - ISDA Finds Electronic Execution Mandate Would Result In Significant Costs, Little Benefit
2011-11-10 19:00Jim Hamilton's World of Securities Regulation - Administration Statement of Policy Supports Senate Bill Funding of SEC and CFTC
2011-11-10 11:30Jim Hamilton's World of Securities Regulation - Bi-Partisan Senate Legislation Would Establish Covered Bond Market in US
2011-11-09 20:00Jim Hamilton's World of Securities Regulation - PCAOB Standing Advisory Group Views Auditor Independence as Core to Auditing of Financial Statements
2011-11-09 16:00Jim Hamilton's World of Securities Regulation - Massachusetts Reproposes Private Fund Adviser Exemption
2011-11-09 11:30Jim Hamilton's World of Securities Regulation - SEC Responds to Questions from Federal Judge Overseeing Settlement of Citigroup Enforcement Action
2011-11-08 20:00Jim Hamilton's World of Securities Regulation - SEC Roundtable on Financial Reporting Uncertainties Focuses on Transparency, Comparability and Disclosure
2011-11-07 22:00Jim Hamilton's World of Securities Regulation - House Passes Legislation Raising Regulation A Exemption Amount
2011-11-07 14:00Jim Hamilton's World of Securities Regulation - Daniel M. Gallagher SwornIn as Commissioner
2011-11-07 12:30Jim Hamilton's World of Securities Regulation - Colorado Increases Broker-Dealer and Investment Adviser Licensing Fees
2011-11-06 15:30Jim Hamilton's World of Securities Regulation - Chairman McHenry Crafted Managers Amendment to Crowdfunding Legislation with Input from SEC Staff
2011-11-06 15:00Jim Hamilton's World of Securities Regulation - US Will Pursue Financial Crisis Responsibility Fee Rather Than Financial Transactions Tax
2011-11-06 14:30Jim Hamilton's World of Securities Regulation - Bi-Partisan Amendment Preserving State Police Powers in Crowdfunding Legislation Explained in House Colloquoy
2011-11-06 10:30Jim Hamilton's World of Securities Regulation - House Floor Colloquies Define Key Terms in Crowdfunding Legislation
2011-11-05 13:00Jim Hamilton's World of Securities Regulation - G-20 Leaders Endorse Regulation of Shadow Banking System and Say No Firm Is Too Big to Fail
2011-11-04 13:00Jim Hamilton's World of Securities Regulation - House Overwhelming Passes Legislation Allowing Crowdfunding and Lifting Regulation D General Solicitation Ban
2011-11-04 12:30Jim Hamilton's World of Securities Regulation - NASAA Regards Crowdfunding Bill as "Structurally Flawed"
2011-11-03 19:30Jim Hamilton's World of Securities Regulation - Senator Crapo Withdraws Amendment on Derivatives End Users and Global Coordination of Title VII After Colloquy with Ag Chair Stabenow
2011-11-03 14:00Jim Hamilton's World of Securities Regulation - DOL-Mandated Disclosures Satisfy Fund-Advertising Requirements
2011-11-03 10:30Jim Hamilton's World of Securities Regulation - House Legislation Would Bring Certainty to Global Swaps Markets
2011-11-02 20:30Jim Hamilton's World of Securities Regulation - Obama Administration Supports Senate Funding Levels for SEC and CFTC to Properly Implement Dodd--Frank
2011-11-02 20:00Jim Hamilton's World of Securities Regulation - Obama Administration Supports House Crowdfunding Legislation
2011-11-02 18:30Jim Hamilton's World of Securities Regulation - House Overwhelmingly Passes Legislation Raising 500-Shareholder Threshold and Increasing Regulation A Threshold
2011-11-02 12:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-11-01 19:30Jim Hamilton's World of Securities Regulation - Hong Kong Securities Regulator Says Global Financial Regulation Should Not Be Race to the Bottom
2011-11-01 19:00Jim Hamilton's World of Securities Regulation - Former Senator Blanche Lincoln Calls On Administration to Reform Federal Regulatory Process
2011-11-01 14:30Jim Hamilton's World of Securities Regulation - European Central Bank Asks CFTC to Exclude Swap Activities of Foreign Central Banks from Dodd-Frank Embrace
2011-11-01 13:30Jim Hamilton's World of Securities Regulation - European Commission Proposes Regulation Extending Insider Dealing to Derivatives Trading and New Directive on Criminal Sanctions
2011-11-01 12:00Jim Hamilton's World of Securities Regulation - Proposed Changes to EU Transparency Directive Would Close Notification Gap and Eliminate Quarterly Financial Statements
2011-11-01 11:30Jim Hamilton's World of Securities Regulation - Proposed Changes to EU Transparency Directive Would Close Notification Gap and Eliminate Quarterly Financial Statements

 

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