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| 2011-12-31 12:00 | | Jim Hamilton's World of Securities Regulation - SEC Issues Revised Dodd-Frank Implementation Schedule at Year End |
| 2011-12-30 18:30 | | Jim Hamilton's World of Securities Regulation - Federal District Court that Rejected SEC-Citigroup Settlement Now Orders SEC to Promptly Notify It of Any Filings in Second Circuit Court of Appeals |
| 2011-12-30 17:00 | | Jim Hamilton's World of Securities Regulation - PCAOB Member Goelzer Outlines Auditor Reporting Model Projects at IFIAR Roundtable |
| 2011-12-28 17:30 | | Jim Hamilton's World of Securities Regulation - California to Extend Emergency Effectiveness of Private Fund Adviser Exemption |
| 2011-12-28 15:30 | | Jim Hamilton's World of Securities Regulation - EU Tax Commissioner Says Financial Transactions Tax Will Advance in 2012 |
| 2011-12-28 10:00 | | Jim Hamilton's World of Securities Regulation - PCAOB Answers Questions About Broker-Dealer Accounting Support Fee |
| 2011-12-27 18:30 | | Jim Hamilton's World of Securities Regulation - SEC Extends to Feb. 13, 2012 the Comment Period on Proposed Regulations Implementing Dodd-Frank Securitization Conflict of Interest Provisions |
| 2011-12-26 15:00 | | Jim Hamilton's World of Securities Regulation - PCAOB Settles Two Disciplinary Proceedings involving Audit Firms |
| 2011-12-25 13:30 | | Jim Hamilton's World of Securities Regulation - Pontifical Council Calls for Global Financial Authority on Bretton Woods Level |
| 2011-12-23 16:30 | | Jim Hamilton's World of Securities Regulation - SEC and Banking Regulators Extend Comment Period on Proposed Regulations Implementing Volcker Rule |
| 2011-12-23 16:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-12-23 14:00 | | Jim Hamilton's World of Securities Regulation - Rep. Schweikert Urges SEC and Bank Regulators to Exclude Venture Capital Funds from Volcker Rule or Classify Them as Dodd-Frank Permitted Activity |
| 2011-12-23 13:00 | | Jim Hamilton's World of Securities Regulation - Over 100 House Members Urge SEC and Bank Regulators to Extend Comment Period on Volcker Rule Proposal |
| 2011-12-23 12:30 | | Jim Hamilton's World of Securities Regulation - Congress Clears Legislation Extending Payroll Tax Holiday and Increasing Fee Charged by GSEs on Mortgage-Backed Securities |
| 2011-12-22 20:30 | | Jim Hamilton's World of Securities Regulation - Implementing Vickers Commission Recommendations, UK Will Ring Fence Retail Banking from Proprietary Trading and Sponsoring Hedge Funds |
| 2011-12-22 14:00 | | Jim Hamilton's World of Securities Regulation - House Oversight Chairs Urge the SEC to Scale Back Scope of Municipal Securities Advisor Regulations |
| 2011-12-22 11:00 | | Jim Hamilton's World of Securities Regulation - Supreme Court of Canada Says Federal Securities Regulatory Regime Not Valid under Constitutional Trade and Commerce Clause |
| 2011-12-21 18:30 | | Jim Hamilton's World of Securities Regulation - SEC Implements Dodd-Frank Changes to Accredited Investor Definition |
| 2011-12-21 13:00 | | Jim Hamilton's World of Securities Regulation - German Finance Minister Calls for Financial Transactions Tax and Market Transparency |
| 2011-12-21 12:00 | | Jim Hamilton's World of Securities Regulation - Former IASB Member and Auditor Becomes Head of German Financial Authority |
| 2011-12-21 11:30 | | Jim Hamilton's World of Securities Regulation - California Proposes Private Fund Adviser Exemption |
| 2011-12-21 09:30 | | Jim Hamilton's World of Securities Regulation - Martin Act Does Not Preempt Common Law Claims, New York High Court Rules |
| 2011-12-20 20:30 | | Jim Hamilton's World of Securities Regulation - Fed Proposes Enhanced Standards for Systemically Important Financial Companies, Including Counterparty Credit Limits |
| 2011-12-20 15:00 | | Jim Hamilton's World of Securities Regulation - Chamber of Commerce Urges SEC Not to Recommend Legislation Altering Supreme Court Ruling on Transnational Securities Fraud |
| 2011-12-20 12:30 | | Jim Hamilton's World of Securities Regulation - PCAOB Re-Proposes Expanded Standard on Auditor Communications with the Audit Committee |
| 2011-12-19 18:00 | | Jim Hamilton's World of Securities Regulation - SEC May Provide Guidance on Proxy Advisory Firms, Says Chairman Schapiro, and Will Review Beneficial Ownership Rules |
| 2011-12-19 13:30 | | Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Says Costs of Mandatory Auditor Rotation Outweigh Benefits, Urges PCAOB to Use ``Bully Pulpit'' |
| 2011-12-19 12:00 | | Jim Hamilton's World of Securities Regulation - House Panel Will Conduct Hearings on Use of SEC Consent Judgments in Wake of Citigroup Ruling |
| 2011-12-19 07:30 | | Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Supports House Whistleblower Legislation Requiring Initial Reporting to Company |
| 2011-12-17 17:00 | | Jim Hamilton's World of Securities Regulation - Congress Clears Legislation Funding SEC for FY 2012 and Authorizing CFTC Fund Transfer |
| 2011-12-17 16:00 | | Jim Hamilton's World of Securities Regulation - Senate Passes Payroll Tax Credit Extension with Increase in Fee Charged by GSEs on Mortgage-Backed Securities |
| 2011-12-16 20:00 | | Jim Hamilton's World of Securities Regulation - IRS Proposes Regulations under Dodd-Frank Swap Exclusion for Section 1256 Contracts |
| 2011-12-16 18:30 | | Jim Hamilton's World of Securities Regulation - SEC Will Appeal Rejection of Citigroup Consent Judgment to Second Circuit Court of Appeals |
| 2011-12-16 11:00 | | Jim Hamilton's World of Securities Regulation - Congress Sets SEC Appropriations for FY 2012 at approx. $1.3 Billion |
| 2011-12-16 10:30 | | Jim Hamilton's World of Securities Regulation - Missouri Participates in NASAA's Coordinated Review Program for Switching Advisers |
| 2011-12-15 20:30 | | Jim Hamilton's World of Securities Regulation - Hearings Held on House On Ramp to Capital Markets Legislation |
| 2011-12-15 10:30 | | Jim Hamilton's World of Securities Regulation - House Omnibus Budget Legislation Sets SEC Budget for FY 2012 |
| 2011-12-14 20:00 | | Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Changing Dodd-Frank Whistleblower Provisions to Require Initial Internal Reporting to Company |
| 2011-12-14 19:00 | | Jim Hamilton's World of Securities Regulation - Senate Crowdfunding Legislation Would Allow Internet Capital Raising with Investor Protection |
| 2011-12-14 15:30 | | Jim Hamilton's World of Securities Regulation - Industry Advances Safe Harbor for Hedge Funds as Traders under Federal Tax Code Principles |
| 2011-12-13 19:30 | | Jim Hamilton's World of Securities Regulation - Joint House Committees Hearing Examines Tax Code Treatment of Derivatives and Other Financial Instruments |
| 2011-12-13 14:00 | | Jim Hamilton's World of Securities Regulation - CBO Examines Impact of Legislation Imposing Financial Transactions Tax on Derivatives and Securities |
| 2011-12-13 12:30 | | Jim Hamilton's World of Securities Regulation - House Financial Services Committee Approves Legislation Clarifying Dodd-Frank Swap Execution Facility Provisions |
| 2011-12-12 21:30 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges CFTC to Simultaneously Apply Trade Execution Requirements to All Market Participants |
| 2011-12-12 19:00 | | Jim Hamilton's World of Securities Regulation - SEC Charges Multiple Hedge Fund Managers with Fraud as Part of Aberrational Performance Inquiry |
| 2011-12-12 13:00 | | Jim Hamilton's World of Securities Regulation - European Commission Proposes EU-Wide Passport for Venture Capital Funds |
| 2011-12-12 10:00 | | Jim Hamilton's World of Securities Regulation - Proposed FINRA Rule on Private Placement Disclosure Would Conflict with the Federal Securities Laws Maintains Hedge Fund Industry |
| 2011-12-11 12:30 | | Jim Hamilton's World of Securities Regulation - Senator Grassley Says Wells Notice Sent to Hedge Fund of Which He Had Requested Documents |
| 2011-12-10 20:30 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Comments on Proposed Hong Kong OTC Derivatives Regulatory Regime |
| 2011-12-10 14:00 | | Jim Hamilton's World of Securities Regulation - SEC Corporation Finance Division Restricts Policy of Confidential Filing by Foreign Private Issuers |
| 2011-12-10 13:30 | | Jim Hamilton's World of Securities Regulation - As US Considers Covered Bond Market, Transparency Is Enhanced in UK Covered Bond Market |
| 2011-12-09 19:00 | | Jim Hamilton's World of Securities Regulation - Bi-partisan House Legislation Would Provide On-Ramp to Public Markets for Emerging Growth Companies |
| 2011-12-09 18:00 | | Jim Hamilton's World of Securities Regulation - European Commission Proposes EU Passport for Auditors of Financial Statements |
| 2011-12-09 15:30 | | Jim Hamilton's World of Securities Regulation - New Carolina Uses Electronic Filing System for Investment Company Notice Filings |
| 2011-12-09 14:00 | | Jim Hamilton's World of Securities Regulation - Senate Legislation Would Provide Tax Incentives and Open the Door to Sarbanes-Oxley Reform for Small Companies |
| 2011-12-09 13:00 | | Jim Hamilton's World of Securities Regulation - House Leaders Give Guidance on Reproposed Definition of ERISA Fiduciary in Letter to DOL |
| 2011-12-09 11:30 | | Jim Hamilton's World of Securities Regulation - House Leaders Ask CFPB to Study Impact of Fed's Ability to Pay Rules on Credit |
| 2011-12-08 20:00 | | Jim Hamilton's World of Securities Regulation - European Commission Proposes Broad Reform of the Outside Audit, Including Audit Firm Rotation and Enhanced Audit Report |
| 2011-12-08 14:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-12-08 11:30 | | Jim Hamilton's World of Securities Regulation - House Legislation Would Fully Fund CFTC Through User Fees |
| 2011-12-08 11:00 | | Jim Hamilton's World of Securities Regulation - Senator Shelby Reaffirms Opposition to Director for CFPB as Administration Seeks Up or Down Vote on Richard Cordray |
| 2011-12-07 21:00 | | Jim Hamilton's World of Securities Regulation - Senator Hutchinson Introduces Legislation Raising 500-Shareholder Threshold to 2000, But Without Mandated SEC Study |
| 2011-12-07 20:30 | | Jim Hamilton's World of Securities Regulation - SEC Staff Detail Frequent Comment Areas in Review of Filings by Foreign Private Issuers using IFRS |
| 2011-12-06 19:30 | | Jim Hamilton's World of Securities Regulation - Senate Banking Committee Hearings Examine Volcker Rule and Impending 404(b) Legislation |
| 2011-12-06 19:00 | | Jim Hamilton's World of Securities Regulation - PCAOB Member Discusses Fair Value Pricing Services at AICPA Seminar |
| 2011-12-06 15:30 | | Jim Hamilton's World of Securities Regulation - Financial Industry Asks SEC and Banking Agencies to Extend Comment Deadline on Proposed Regulations Implementing Volcker Rule |
| 2011-12-05 20:30 | | Jim Hamilton's World of Securities Regulation - SEC Staff Examines IFRS, Audit Rotation and Auditor Judgment at AICPA Seminar |
| 2011-12-05 14:00 | | Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Endorses ISS Case-by-Case Approach to Proxy Access Shareholder Proposals |
| 2011-12-04 20:30 | | Jim Hamilton's World of Securities Regulation - NASAA Calls for Enhanced Private Placement Disclosures |
| 2011-12-04 10:00 | | Jim Hamilton's World of Securities Regulation - Senate and House Legislation Would Prevent Insider Trading by Congress and Employees |
| 2011-12-03 12:00 | | Jim Hamilton's World of Securities Regulation - Industry Associations Challenge CFTC Position Limits Regulations in Federal Court |
| 2011-12-02 15:00 | | Jim Hamilton's World of Securities Regulation - Bi-Partisan Senate Legislation Would Create On-Ramp to Public Markets for New Category of Emerging Growth Companies |
| 2011-12-02 14:00 | | Jim Hamilton's World of Securities Regulation - Senate Agriculture Committee Grills Agency Heads on MF Global Collapse |
| 2011-12-02 13:00 | | Jim Hamilton's World of Securities Regulation - In letter to CFTC IG, Senator Shelby Requests Report on Agency's Oversight of MF Global |
| 2011-12-02 11:30 | | Jim Hamilton's World of Securities Regulation - SEC Plans Earlier Release of Comment Letter Correspondence on EDGAR |
| 2011-12-02 11:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2011-12-01 21:00 | | Jim Hamilton's World of Securities Regulation - House Oversight Chair Seeks Information on How CFTC, SEC and FINRA Coordinated About MF Global |
| 2011-12-01 19:30 | | Jim Hamilton's World of Securities Regulation - States Seek Leading Role in Regulating Crowdfunded Securities |
| 2011-12-01 15:00 | | Jim Hamilton's World of Securities Regulation - Senate Banking Committee Examines Capital Formation Legislation |
| 2011-12-01 14:30 | | Jim Hamilton's World of Securities Regulation - California Release Differentiates Treatment of Issuers' Officers/Directors as BDs Falling Within or Being Excluded from the California BD Definition |
| 2011-12-01 11:00 | | Jim Hamilton's World of Securities Regulation - Massachusetts Reschedules Public Hearing on IA Proposed Rule Amendments |
