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| 2012-01-31 20:30 | | Jim Hamilton's World of Securities Regulation - Senate Legislation Would Close Tax Loophole that Subsidizes Short-Term Speculation in Derivatives |
| 2012-01-31 14:00 | | Jim Hamilton's World of Securities Regulation - House Members Ask SEC to Delay Registration of Private Equity Fund Advisers |
| 2012-01-30 21:00 | | Jim Hamilton's World of Securities Regulation - Senate Set to Pass Legislation to Curb Use of Insider Information by Members of Congress and Staff |
| 2012-01-30 20:30 | | Jim Hamilton's World of Securities Regulation - IASB Chair Says US Will Come on Board with IFRS, Details Remaining Convergence Projects |
| 2012-01-30 13:00 | | Jim Hamilton's World of Securities Regulation - US Sentencing Commission Proposes Enhanced Guidelines in Securities and Mortgage Fraud Cases Pursuant to Dodd-Frank Sec. 1079A Directives |
| 2012-01-29 16:00 | | Jim Hamilton's World of Securities Regulation - House Ag Committee Approves Legislation Exempting Inter-Affiliate Swaps from Dodd-Frank Derivatives Requirements |
| 2012-01-29 14:30 | | Jim Hamilton's World of Securities Regulation - Audit Committee Chairs of Global Companies Inform PCAOB that Mandatory Auditor Rotation Would Undermine the Committee |
| 2012-01-28 16:00 | | Jim Hamilton's World of Securities Regulation - House Ag Committee Approves Legislation Clarifying Dodd-Frank Swap Execution Facility Provisions |
| 2012-01-28 13:00 | | Jim Hamilton's World of Securities Regulation - FinCEN to Work with SEC in Developing Regulations Requiring Investment Advisers to Set Up AML Programs and Report Suspicious Activities |
| 2012-01-27 17:30 | | Jim Hamilton's World of Securities Regulation - NY Senator Says SEC and CFTC Should Uniformly Enforce the Volcker Rule |
| 2012-01-27 11:30 | | Jim Hamilton's World of Securities Regulation - Securities Industry and Corporate Secretaries Ask SEC to Use Negotiated Rulemaking in Adopting Dodd-Frank Pay Ratio Regulations |
| 2012-01-26 21:30 | | Jim Hamilton's World of Securities Regulation - Senator Hagan Urges SEC and Other Regulators to Adhere to Legislative Intent in Crafting Dodd-Frank Volcker Regulations |
| 2012-01-26 19:30 | | Jim Hamilton's World of Securities Regulation - Corporate Secretaries Oppose PCAOB Suggestions of AD&A and Auditor Assurance Outside Financial Statements |
| 2012-01-26 15:00 | | Jim Hamilton's World of Securities Regulation - House Ag Committee Approves Legislation Clarifying End-User Exemption from Dodd-Frank Derivatives Margin Requirements |
| 2012-01-25 19:30 | | Jim Hamilton's World of Securities Regulation - UK Financial Conduct Authority Product Intervention Powers Explained by Martin Wheatley |
| 2012-01-25 16:00 | | Jim Hamilton's World of Securities Regulation - NASAA Proposes Model Crowdfunding Exemption |
| 2012-01-25 15:30 | | Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Comments on EU Derivatives Regulation, Supports Sound Central Counterparty Governance |
| 2012-01-24 14:00 | | Jim Hamilton's World of Securities Regulation - Cordray Outlines to House Panel His Vision for a CFPB with Full Enforcement Authority |
| 2012-01-24 13:30 | | Jim Hamilton's World of Securities Regulation - Massachusetts Provides Guidance on Social Media Use by Investment Advisers |
| 2012-01-23 15:30 | | Jim Hamilton's World of Securities Regulation - Securities and Derivatives Groups Must First Challenge CFTC Position Limits Regulations in District Court Says DC Circuit |
| 2012-01-22 16:00 | | Jim Hamilton's World of Securities Regulation - In Letter to House Leader, SEC Chair Details Work of Economists on Potential Regulations on Broker-Adviser Fiduciary Standard |
| 2012-01-22 15:30 | | Jim Hamilton's World of Securities Regulation - Mainland Has Potential for Significant Derivatives Market Says Hong Kong Securities Regulator |
| 2012-01-21 13:00 | | Jim Hamilton's World of Securities Regulation - UK Finance Minister Cautions that Transparency and Position Limit Reforms Must Be Calibrated for Derivatives Markets |
| 2012-01-20 12:00 | | Jim Hamilton's World of Securities Regulation - Federal Magistrate Says Negative Dodd-Frank Say on Pay Vote Did Not Overcome Business Judgment Presumption |
| 2012-01-19 15:00 | | Jim Hamilton's World of Securities Regulation - Securities and Banking Industries Respond to DOL Request for Data in Drafting Reproposed Fiduciary Definition |
| 2012-01-18 12:30 | | Jim Hamilton's World of Securities Regulation - SEC Issues Small Entity Compliance Guide for Reporting on Form PF |
| 2012-01-17 17:30 | | Jim Hamilton's World of Securities Regulation - UK Legislation Would Provide Mandatory Vote on Executive Compensation and Otherwise Unlock Shareholder Power |
| 2012-01-16 18:30 | | Jim Hamilton's World of Securities Regulation - 3 new articles |
| 2012-01-16 11:00 | | Jim Hamilton's World of Securities Regulation - Abraham, Martin and John |
| 2012-01-15 16:00 | | Jim Hamilton's World of Securities Regulation - Fed Gov. Duke Calls for Guidance on Accounting for Troubled Debt Restructurings and Sets Goal for Loan Loss Accounting |
| 2012-01-15 14:00 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks CFTC to Approve ICE Petition on Portfolio Margining and Calculating Margins for Cleared Swaps |
| 2012-01-14 18:00 | | Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Asks EU Securities Regulator to Provide Guidance on Short Selling Regulation |
| 2012-01-13 13:30 | | Jim Hamilton's World of Securities Regulation - In Comments to PCAOB, Large Audit Firms Oppose Mandatory Audit Firm Rotation |
| 2012-01-13 07:30 | | Jim Hamilton's World of Securities Regulation - Securities Industry Urges Clarification of Proposed FINRA Whistleblower Rules |
| 2012-01-12 16:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2012-01-12 15:30 | | Jim Hamilton's World of Securities Regulation - Indiana Issues Private Equity/Venture Capital Fund Administrative Order In Connection with IA Registration |
| 2012-01-11 15:00 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Petitions SEC to End Regulation D Ban on General Solicitation |
| 2012-01-11 12:30 | | Jim Hamilton's World of Securities Regulation - In Letter to SEC, Securities Professionals Concerned that Volcker Rule Proposals Will Hurt Liquidity |
| 2012-01-10 12:30 | | Jim Hamilton's World of Securities Regulation - Texas Proposes Administrative Procedure Rule Amendments |
| 2012-01-10 10:30 | | Jim Hamilton's World of Securities Regulation - Federal Magistrate Grants SEC Request for Show Cause in Case Involving China-Based Accounting Firm |
| 2012-01-09 21:00 | | Jim Hamilton's World of Securities Regulation - ESMA Guides on Inside Information, Dividends and Derivatives under Market Abuse Directive |
| 2012-01-09 20:00 | | Jim Hamilton's World of Securities Regulation - In Letters to PCAOB, EU, Australian and Japanese Accounting Groups Oppose Mandatory Audit Firm Rotation |
| 2012-01-09 14:00 | | Jim Hamilton's World of Securities Regulation - FRC Will Propose Changes to UK Corporate Governance Code on Auditor Selection and Audit Committee Reports |
| 2012-01-09 11:00 | | Jim Hamilton's World of Securities Regulation - Corporation Finance Division Guides on Financial Statement Disclosure around European Sovereign Debt Exposure |
| 2012-01-08 16:00 | | Jim Hamilton's World of Securities Regulation - ESMA Planning Guidance on Hedge Fund Regulation and Proposed Regulations on ETFs in 2012 |
| 2012-01-07 14:30 | | Jim Hamilton's World of Securities Regulation - German and UK Governments Oppose Regulatory Monitoring of Explanations under Comply or Explain Corporate Governance Codes |
| 2012-01-07 14:00 | | Jim Hamilton's World of Securities Regulation - EU Court of Justice Rules that Unrealized Capital Gains Can Be Taxed When Company Transfers to Another Member State |
| 2012-01-06 21:30 | | Jim Hamilton's World of Securities Regulation - House Oversight Chair Asks DOJ for Information About Cordray Recess Appointment |
| 2012-01-06 17:00 | | Jim Hamilton's World of Securities Regulation - Texas Adopts IA Custody Rule and Amendments to Advisory Fee and Written Exam Rules |
| 2012-01-05 20:30 | | Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Concerned About DOL Interim Rules for Handling Whistleblower Retaliation Claims |
| 2012-01-05 17:30 | | Jim Hamilton's World of Securities Regulation - Japanese Securities and Banking Regulators Fear that Volcker Rule Proposed Regulations Would Hurt Government Bond Trading |
| 2012-01-05 13:00 | | Jim Hamilton's World of Securities Regulation - Director Cordray Outlines Vision for CFPB and Begins Regulation of Non-Bank Financial Entities |
| 2012-01-05 11:00 | | Jim Hamilton's World of Securities Regulation - House Oversight Panel Invites CFPB Director Cordray to Testify as Legislation Blocking His Appointment is Readied |
| 2012-01-05 07:30 | | Jim Hamilton's World of Securities Regulation - Applying Spanish Law and Citing Internal Affairs Doctrine, Delaware Supreme Court Affirms Dismissal of Derivative Action |
| 2012-01-04 18:00 | | Jim Hamilton's World of Securities Regulation - Hawaii Investment Company and Advisory Fees Remain Reduced in 2012 |
| 2012-01-04 14:30 | | Jim Hamilton's World of Securities Regulation - President Intends to Use Recess Appointment to Name Cordray CFPB Director |
| 2012-01-04 13:00 | | Jim Hamilton's World of Securities Regulation - Massachusetts Adopts Private Fund Adviser Exemption |
| 2012-01-03 19:30 | | Jim Hamilton's World of Securities Regulation - Pamela Gibbs Named Director of SEC Office of Minority and Women Inclusion |
| 2012-01-03 19:00 | | Jim Hamilton's World of Securities Regulation - German and UK Governments Oppose Regulatory Monitoring of Explanations under Comply or Explain Corporate Governance Codes |
| 2012-01-03 17:00 | | Jim Hamilton's World of Securities Regulation - California Proposes Private Fund Adviser Exemption |
| 2012-01-03 14:30 | | Jim Hamilton's World of Securities Regulation - In Letter to CFPB, Key Senator Says Proposed Regulations on Foreign Remittance Transfers Challenge Community Banks |
| 2012-01-03 12:00 | | Jim Hamilton's World of Securities Regulation - Federal Judge Asks SEC to Provide Factual Predicate in Settling Enforcement Action Involving Disgorgement of Bonuses |
| 2012-01-02 21:00 | | Jim Hamilton's World of Securities Regulation - UK Finance Minister Skeptical of Blanket Position Limits in EU Derivatives Legislation |
| 2012-01-02 18:30 | | Jim Hamilton's World of Securities Regulation - SEC and Global Regulators Engage in Dialogues on OTC Derivatives Regulation |
| 2012-01-01 14:00 | | Jim Hamilton's World of Securities Regulation - Canadian Bank Regulator Urges Volcker Rule Proprietary Trading Exemption for Foreign Government Securities |
