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| 2012-02-29 14:00 | | Jim Hamilton's World of Securities Regulation - US Senator Concerned about Impact of Volcker Regulations on Market Making and Venture Capital Funds |
| 2012-02-29 12:00 | | Jim Hamilton's World of Securities Regulation - SEC Issues Wells Notices Involving Sub-Prime Mortgage-Backed Securities |
| 2012-02-28 22:00 | | Jim Hamilton's World of Securities Regulation - House Leaders Bundle Crowdfunding, On Ramp and Other Legislative Pieces Together to Create Omnibus JOBS Act |
| 2012-02-28 16:30 | | Jim Hamilton's World of Securities Regulation - PCAOB and IAASB Members Disagree at DC Bar Event on Benefits of Int'l Auditing Standards to US Investors |
| 2012-02-27 17:30 | | Jim Hamilton's World of Securities Regulation - SEC Investor Protection Culture Embedded at PCAOB Says Member Goelzer |
| 2012-02-27 16:00 | | Jim Hamilton's World of Securities Regulation - Wisconsin Issues Private Fund Adviser Exemption |
| 2012-02-27 12:30 | | Jim Hamilton's World of Securities Regulation - COSO Says Updated Internal Control Framework Should Not Change Section 404(b) Attestation |
| 2012-02-25 15:00 | | Jim Hamilton's World of Securities Regulation - In Letter to Senate Leaders, ABA Urges Legislation Preserving Confidentiality of Privileged Information Provided to CFPB |
| 2012-02-25 10:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2012-02-24 17:30 | | Jim Hamilton's World of Securities Regulation - European Federation of Accountants Generally Supports PCAOB's Reproposed Standard on Communications with the Audit Committee |
| 2012-02-24 16:30 | | Jim Hamilton's World of Securities Regulation - Massachusetts Adopts Private Fund Adviser Exemption |
| 2012-02-24 12:30 | | Jim Hamilton's World of Securities Regulation - ECOFIN Approves Regulation on Short Selling and Credit Default Swaps |
| 2012-02-23 13:30 | | Jim Hamilton's World of Securities Regulation - SEC Charges China-Based Executives with Securities Fraud and Internal Control Violations Involving Company Created by Reverse Merger |
| 2012-02-22 14:00 | | Jim Hamilton's World of Securities Regulation - In Letter to SEC, House Members Reaffirm that Volcker Rule Restrictions Were Not Intended for Venture Capital Funds |
| 2012-02-21 20:30 | | Jim Hamilton's World of Securities Regulation - UK FSA Will Move to Twin Peaks Regulation Ahead of New Regulatory Regime |
| 2012-02-21 13:30 | | Jim Hamilton's World of Securities Regulation - Illinois Replaces References to NASD with FINRA |
| 2012-02-20 19:00 | | Jim Hamilton's World of Securities Regulation - Amsterdam Appeals Panel Approves Settlement of Securities Action for non-US Exchange Purchasers |
| 2012-02-20 16:30 | | Jim Hamilton's World of Securities Regulation - In letter to SEC, Bill Gates Emphasizes Need for Strong Regulations on Dodd-Frank Resource Extraction Provisions |
| 2012-02-20 12:00 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Comments on ESMA Proposed Standards under EU Short Selling Directive |
| 2012-02-19 16:30 | | Jim Hamilton's World of Securities Regulation - Senators Urge SEC to Quickly Finalize Conflict Minerals Regulations and Require Companies to File Not Furnish Reports |
| 2012-02-19 13:30 | | Jim Hamilton's World of Securities Regulation - UK FRC Report Examines Adequate Explanation for Comply or Explain Corporate Governance Code |
| 2012-02-17 20:00 | | Jim Hamilton's World of Securities Regulation - House Members Urge SEC to Promptly Adopt Strong Regulations Implementing the Extractive Industry Revenue Transparency Provisions of Dodd-Frank |
| 2012-02-17 12:30 | | Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Managing SEC Rulemaking Process and Directing Regulatory Review |
| 2012-02-17 12:00 | | Jim Hamilton's World of Securities Regulation - Maine Releases Private Adviser Interim Order |
| 2012-02-16 20:00 | | Jim Hamilton's World of Securities Regulation - House Panel Approves Bi-Partisan Legislation Creating On Ramp for Emerging Growth Companies |
| 2012-02-16 17:00 | | Jim Hamilton's World of Securities Regulation - Virginia Proposes Private Fund Adviser Exemption |
| 2012-02-16 16:00 | | Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Preserving Confidentiality of Privileged Information Provided to the CFPB |
| 2012-02-16 13:30 | | Jim Hamilton's World of Securities Regulation - House Panel Approves Bipartisan Legislation Repealing Bank Swap Push Out Provisions of Dodd-Frank |
| 2012-02-16 11:00 | | Jim Hamilton's World of Securities Regulation - Rhode Island Proposes Private Fund Adviser Exemption |
| 2012-02-15 12:30 | | Jim Hamilton's World of Securities Regulation - Institutional Investors Urge SEC to Adopt Dodd-Frank Corporate Pay Ratio and Pay for Performance Regulations |
| 2012-02-14 15:30 | | Jim Hamilton's World of Securities Regulation - Senate Authors of Dodd-Frank Volcker Rule Provisions Say the Rule is Intended to be the Modern Version of the Glass-Steagall Act |
| 2012-02-13 17:30 | | Jim Hamilton's World of Securities Regulation - In Letter to SEC Former Fed Chair Volcker Defends Proposed Regulations Implementing Dodd-Frank Volcker Rule |
| 2012-02-13 16:00 | | Jim Hamilton's World of Securities Regulation - Corp Fin Issues C&DI on Advisory Vote Description |
| 2012-02-13 15:30 | | Jim Hamilton's World of Securities Regulation - Second Circuit Panel Rules that Hedge Fund Was Not a Customer of Broker and FINRA Member for Purposes of Arbitration |
| 2012-02-13 14:00 | | Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Assn. Chair Discusses Hedge Fund Directive and MiFID II at EU Forum |
| 2012-02-13 08:00 | | Jim Hamilton's World of Securities Regulation - Obama Administration's Proposed Budget Calls for Financial Crisis Responsibility Fee on Large Financial Institutions |
| 2012-02-12 16:30 | | Jim Hamilton's World of Securities Regulation - Former Chair of India's Securities Regulator and former Big Four Global CEO Named to IASB Oversight Foundation |
| 2012-02-12 16:00 | | Jim Hamilton's World of Securities Regulation - German Corporate Governance Code Commission Proposes Enhancements to Supervisory Board and Audit Committee Independence |
| 2012-02-12 15:30 | | Jim Hamilton's World of Securities Regulation - UK Accounting Standards Board Proposes Changes to Financial Reporting Standards |
| 2012-02-12 15:00 | | Jim Hamilton's World of Securities Regulation - Committee on Capital Markets Urges Rigorous Cost-Benefit Analysis for Any Mandatory Auditor Rotation Regulations |
| 2012-02-11 16:00 | | Jim Hamilton's World of Securities Regulation - Former TIAA-CREF Chair Endorses Mandatory Auditor Rotation in Letter to PCAOB |
| 2012-02-10 14:00 | | Jim Hamilton's World of Securities Regulation - European Securities Commissioner Asks Financial Regulators to Confine Volcker Rule to US Territory and Exempt Trading in EU Gov. Securities |
| 2012-02-09 21:00 | | Jim Hamilton's World of Securities Regulation - SEC Staff 2005 NAL on Special Purpose Vehicles Created by Registered Investment Adviser Has Post-Dodd Frank Viability |
| 2012-02-09 12:30 | | Jim Hamilton's World of Securities Regulation - House Passes Legislation Curbing Use of Inside Information by Legislative and Executive Branches, Drops Grassley Political Intelligence Provision |
| 2012-02-08 20:00 | | Jim Hamilton's World of Securities Regulation - US and EU Partners Agree to Reciprocal Exchanges to Facilitate FATCA Implementation |
| 2012-02-08 19:00 | | Jim Hamilton's World of Securities Regulation - Proposed Regulations Implementing FATCA Recognize the Challenges |
| 2012-02-08 18:30 | | Jim Hamilton's World of Securities Regulation - Using Fannie and Freddie Guarantee Fees to Fund Further Extension of Payroll Tax Credit is Problematic Says Banking Industry |
| 2012-02-08 16:00 | | Jim Hamilton's World of Securities Regulation - New Jersey Permits IAs Without Custody to File Notarized Certificate Attesting to Financial Statement Accuracy |
| 2012-02-08 15:00 | | Jim Hamilton's World of Securities Regulation - Senate Legislation Would Close Swap Loophole and Align Tax Code and Securities Law Treatment of Stock Options |
| 2012-02-08 14:00 | | Jim Hamilton's World of Securities Regulation - Georgia Proposes Clarifications to Recently Adopted Securities Rules |
| 2012-02-07 21:30 | | Jim Hamilton's World of Securities Regulation - Senior ESMA Official Outlines Credit Rating Agencies Regulation and Examines Proposed Revisions |
| 2012-02-07 16:00 | | Jim Hamilton's World of Securities Regulation - ESMA Chair Emphasizes Role of Investor Protection in Planned Suitability Guidance |
| 2012-02-07 13:00 | | Jim Hamilton's World of Securities Regulation - No Sarbanes-Oxley Whistleblower Protection for Employees of Public Companies' Contractors |
| 2012-02-07 10:30 | | Jim Hamilton's World of Securities Regulation - Federal Judge Who Questioned SEC Settlement of Enforcement Action Now Indicates Approval |
| 2012-02-06 19:30 | | Jim Hamilton's World of Securities Regulation - Major Changes Proposed to Japanese Companies Act to Enhance Corporate Governance |
| 2012-02-06 13:00 | | Jim Hamilton's World of Securities Regulation - California Extends Public Comment Date for Private Fund Adviser Exemption |
| 2012-02-06 11:00 | | Jim Hamilton's World of Securities Regulation - Senate Hearings Examine IRS Letter Rulings Allowing Mutual Fund Investments in Commodities, Levin Urges Use of Economic Substance Doctrine |
| 2012-02-04 13:30 | | Jim Hamilton's World of Securities Regulation - UK Prime Minister Rejects Idea of Employee Seat on Company Compensation Committee |
| 2012-02-04 12:30 | | Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Calls for SEC Regulation of Proxy Advisory Firms |
| 2012-02-03 18:00 | | Jim Hamilton's World of Securities Regulation - Republican Senators Will File an Amicus Brief in Court Challenge to Cordray Recess Appointment as CFPB Director |
| 2012-02-03 17:00 | | Jim Hamilton's World of Securities Regulation - NYSE Tightens Rule 452 Broker Voting of Corporate Governance Proxy Proposals |
| 2012-02-03 12:00 | | Jim Hamilton's World of Securities Regulation - Senate Passes Legislation to Curb Use of Inside Information by Members of Congress and Staff, Shelby Amendment Extends Ban to Executive Branch |
| 2012-02-02 20:30 | | Jim Hamilton's World of Securities Regulation - Treasury Will Work to Satisfy EU Privacy Concerns Regarding Provision of FATCA Information and Gradually Phase In FATCA Regulations |
| 2012-02-02 14:30 | | Jim Hamilton's World of Securities Regulation - MSRB Urges SEC to Include All Municipal Securities, as Defined in 1934 Act, Within Volcker Rule Governmental Obligations Exemption |
| 2012-02-02 13:00 | | Jim Hamilton's World of Securities Regulation - SEC and CFTC Issue Joint Report on Global Swap Regulation as Mandated by the Dodd-Frank Act |
| 2012-02-02 11:00 | | Jim Hamilton's World of Securities Regulation - President Would Sign Legislation Banning Insider Trading by Members of Congress |
| 2012-02-01 20:00 | | Jim Hamilton's World of Securities Regulation - Senior UK Minister Concerned with Proprietary Trading Restrictions of Volcker Rule, Asks for Dialogue with US Regulators |
| 2012-02-01 13:00 | | Jim Hamilton's World of Securities Regulation - FASB Oversight Body Finds FIN 48 Working as Intended, With Some Concern about Revealing Sensitive Information to IRS |
| 2012-02-01 12:30 | | Jim Hamilton's World of Securities Regulation - Investment Management FAQ Explains Dodd-Frank Mid-Sized Investment Adviser Provisions |
