Click a link below to view the mailing archive as if it had been sent to you. . 2012-03-30 20:30 Jim Hamilton's World of Securities Regulation - House and Senate Ag Committee Chairs Urge CFTC to Adopt Narrow Swap Dealer Regulations. 2012-03-30 17:00 Jim ...
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Jim Hamiltons World of Securities Regulation Archive for March, 2012

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2012-03-30 20:30Jim Hamilton's World of Securities Regulation - House and Senate Ag Committee Chairs Urge CFTC to Adopt Narrow Swap Dealer Regulations
2012-03-30 17:00Jim Hamilton's World of Securities Regulation - Georgia Makes Small Issuer Registrations under 1973 Securities Act Qualification Registrations under 2008 Securities Act
2012-03-30 16:30Jim Hamilton's World of Securities Regulation - 2 new articles
2012-03-29 18:00Jim Hamilton's World of Securities Regulation - House Passes Legislation Codifying Derivatives End User Exemption
2012-03-28 13:30Jim Hamilton's World of Securities Regulation - Market Manipulation Not Shown in ARS Case
2012-03-28 13:00Jim Hamilton's World of Securities Regulation - NASAA Announces Online Resource for IA State Registration Requirements
2012-03-28 12:30Jim Hamilton's World of Securities Regulation - 2 new articles
2012-03-27 14:00Jim Hamilton's World of Securities Regulation - House Agrees to Senate Amendment to the JOBS Act, Thereby Clearing the Jumpstart Our Business Startups Act for the President
2012-03-27 13:30Jim Hamilton's World of Securities Regulation - Missouri Sets Time-Table for SEC Adviser Switch to State Registration
2012-03-27 10:30Jim Hamilton's World of Securities Regulation - House Passes Legislation Requiring the CFPB to Preserve the Confidentiality of Privileged Information
2012-03-26 13:00Jim Hamilton's World of Securities Regulation - Supreme Court Rejects Section 16(b) Tolling Based Solely on Failure to File Insider Disclosures
2012-03-26 11:30Jim Hamilton's World of Securities Regulation - Medical Device Firm Consents to Multi-Million Dollar FCPA Settlement
2012-03-25 16:00Jim Hamilton's World of Securities Regulation - Former SEC Chairs Pitt and Levitt Discuss Auditor Rotation at PCAOB Roundtable
2012-03-23 12:00Jim Hamilton's World of Securities Regulation - SEC Establishes New Supervisory Cooperation Arrangements with Foreign Counterparts
2012-03-22 21:30Jim Hamilton's World of Securities Regulation - Congress Clears STOCK Act on Federal Official Insider Trading for Presidential Signature
2012-03-22 15:00Jim Hamilton's World of Securities Regulation - Washington State Proposes Mortgage Paper Securities Amendments
2012-03-22 14:00Jim Hamilton's World of Securities Regulation - Senate Passes JOBS Act, But With New Title III on Crowdfunding
2012-03-22 11:00Jim Hamilton's World of Securities Regulation - GAO Submits Interim Report on SIPC Madoff Liquidation Proceeding
2012-03-21 21:30Jim Hamilton's World of Securities Regulation - House Financial Services Committee Details HR 3606 Investor Protections
2012-03-21 10:30Jim Hamilton's World of Securities Regulation - Former Fed Chair Volcker and former US Comptroller Bowsher Endorse Mandatory Audit Firm Rotation
2012-03-20 21:00Jim Hamilton's World of Securities Regulation - European Commission Proposes New EU Securities Settlement Regime
2012-03-20 19:00Jim Hamilton's World of Securities Regulation - Senate Will Act on House Version of STOCK Act
2012-03-20 16:30Jim Hamilton's World of Securities Regulation - Maryland Federal Judge Says Demand Not Excused on Directors Who Failed to Rescind Compensation Package after Negative Say on Pay Vote
2012-03-20 14:30Jim Hamilton's World of Securities Regulation - Stanford Fraud Schemes May Proceed in State Court
2012-03-20 12:00Jim Hamilton's World of Securities Regulation - Dutch Corporate Governance Watchdog Examines Proxy Advisory Services
2012-03-19 21:00Jim Hamilton's World of Securities Regulation - 2 new articles
2012-03-19 17:30Jim Hamilton's World of Securities Regulation - Senators Leahy and Grassley Call for Conference Committee to Reinsert Their Amendments into the STOCK Act
2012-03-19 16:30Jim Hamilton's World of Securities Regulation - Rhode Island Proposes Exemption for Private Fund Advisers
2012-03-19 16:00Jim Hamilton's World of Securities Regulation - Canadian Investment Industry Says Volcker Rule May Violate NAFTA
2012-03-19 14:30Jim Hamilton's World of Securities Regulation - SEC Credits Former AXAa Rosenberg Executive for Substantial Cooperation during Investigation
2012-03-19 11:30Jim Hamilton's World of Securities Regulation - Iowa Reiterates Time-Table for Adviser Switch Process
2012-03-18 16:00Jim Hamilton's World of Securities Regulation - Hedge Fund Standards Board Revises Global Standards to Enhance Governance and Increase Disclosure
2012-03-17 15:00Jim Hamilton's World of Securities Regulation - Key Senators Would Amend the JOBS Act to Add Provisions Creating US Covered Bond Market
2012-03-15 18:00Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Urges Senate to Include Additional Investor Protections in House-Passed JOBS Act
2012-03-15 14:00Jim Hamilton's World of Securities Regulation - Deferring to SEC, Second Circuit Panel Stays District Court Proceedings in Enforcement Action against Citigroup
2012-03-15 13:30Jim Hamilton's World of Securities Regulation - Federal Court Remands 33 Act Claims to State Court
2012-03-14 13:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Comments to ESMA on EU Short Selling and Credit Default Swap Regulation
2012-03-14 11:00Jim Hamilton's World of Securities Regulation - Former Rep. Baker Links Hedge Funds and Institutional Investors
2012-03-13 17:00Jim Hamilton's World of Securities Regulation - NASAA Opposes Preempting State Laws on Crowdfunding
2012-03-13 11:00Jim Hamilton's World of Securities Regulation - Senator Shelby Calls for Bi-Partisan Senate Legislation on Capital Formation
2012-03-12 20:30Jim Hamilton's World of Securities Regulation - In Letter to SEC, House Leader Urges Volcker Rule Exemption for Venture Capital Funds
2012-03-12 19:00Jim Hamilton's World of Securities Regulation - Hong Kong Hedge Fund Regulation Strikes Right Balance Says Senior SFC Official
2012-03-12 14:00Jim Hamilton's World of Securities Regulation - US Senators Urge MF Global Bankruptcy Trustee Not to Pay Performance-Based Bonuses
2012-03-12 13:30Jim Hamilton's World of Securities Regulation - Securities and Futures Commission Can Bring Insider Trading Action against NY-Based Hedge Fund Says Hong Kong Court of Appeal
2012-03-10 18:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Comments on MiFID Compliance Function as ESMA Readies Proposed Regulations
2012-03-09 13:30Jim Hamilton's World of Securities Regulation - Uniform Standards Act Did Not Apply to Brokerage Fee Claims
2012-03-08 13:30Jim Hamilton's World of Securities Regulation - House Passes Capital Formation Legislation with On Ramp to Public Listing and Crowdfunding
2012-03-07 20:30Jim Hamilton's World of Securities Regulation - House Approves Amendments to JOBS Act as HR 3606 Moves Toward Passage
2012-03-07 12:00Jim Hamilton's World of Securities Regulation - Commissioner Paredes, Industry Group Criticize Volker Rule Proposals
2012-03-07 10:30Jim Hamilton's World of Securities Regulation - SEC Amends Ethics Rules
2012-03-06 20:30Jim Hamilton's World of Securities Regulation - Obama Administration Issues Statement of Policy Endorsing House Capital Formation, On Ramp, and Crowdfunding Legislation
2012-03-06 15:00Jim Hamilton's World of Securities Regulation - Washington State Proposes Amending "Accredited Investor" Definition in Its Regulation D Exemption
2012-03-06 11:00Jim Hamilton's World of Securities Regulation - Senator Schumer Says Senate Will Pass Capital Formation Legislation Similar to House JOBS Act
2012-03-05 16:00Jim Hamilton's World of Securities Regulation - District Court Construes Janus in National Century Litigation
2012-03-05 15:00Jim Hamilton's World of Securities Regulation - Defendant in SEC Enforcement Action Properly Served in Costa Rica
2012-03-05 11:00Jim Hamilton's World of Securities Regulation - Key Senator Asks SEC to Examine How Chinese Companies Access US Markets
2012-03-02 14:30Jim Hamilton's World of Securities Regulation - Senior EU Minister Concerned about Extra-Territorial Impact of Dodd-Frank Volcker Regulations
2012-03-01 17:30Jim Hamilton's World of Securities Regulation - Delaware Chancellor Refuses to Enjoin Merger Vote Despite Disloyalty Taint Since No Rival Bid Existed
2012-03-01 16:00Jim Hamilton's World of Securities Regulation - Delaware Chancellor Refuses to Enjoin Merger Vote Despite Disloyalty Taint Since No Rival Bid Existed
2012-03-01 13:00Jim Hamilton's World of Securities Regulation - 2nd Circuit Interprets Morrison Standard
2012-03-01 11:30Jim Hamilton's World of Securities Regulation - In Lehman Brothers Proceeding, UK Supreme Court Holds Statutory Trust Begins Upon Receipt of Client Funds

 

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