Click a link below to view the mailing archive as if it had been sent to you. . 2012-04-30 14:00 Jim Hamilton's World of Securities Regulation - NASAA Opposes "Watered Down" Private Placement Disclosures. 2012-04-30 11:30 Jim Hamilton's World of ...
‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ 
Your email updates, powered by FeedBlitz

Jim Hamiltons World of Securities Regulation Archive for April, 2012

Click a link below to view the mailing archive as if it had been sent to you.

2012-04-30 14:00Jim Hamilton's World of Securities Regulation - NASAA Opposes "Watered Down" Private Placement Disclosures
2012-04-30 11:30Jim Hamilton's World of Securities Regulation - Statements in Alleged Ponzi Scheme Satisfied "In Connection With" Requirement
2012-04-29 16:30Jim Hamilton's World of Securities Regulation - Senators Harkin and Brown (OH) Urge Regulators to Exempt Insurance Company Investments in Hedge Funds from Volcker Rule
2012-04-27 18:00Jim Hamilton's World of Securities Regulation - SEC Posts Final Rules Defining Key Security-Based Swaps Terms
2012-04-27 17:00Jim Hamilton's World of Securities Regulation - NASAA Urges FINRA to Expand BrokerCheck Disclosures
2012-04-27 12:30Jim Hamilton's World of Securities Regulation - Missouri Proposes Private Fund Adviser Exemption
2012-04-27 12:00Jim Hamilton's World of Securities Regulation - Broker-Dealers Temporarily Exempted from Recordkeeping, Reporting and Monitoring Requirements of Rule 13h-1
2012-04-27 02:30Jim Hamilton's World of Securities Regulation - FSA Official Urges SEC and Other Regulators to Clarify Impact of Volcker Rule Proposed Regulations on UK Covered Bond Market
2012-04-26 22:00Jim Hamilton's World of Securities Regulation - House Passes Legislation Extending Dodd-Frank Swap Exemption
2012-04-26 16:30Jim Hamilton's World of Securities Regulation - US Senators Say Regulations Implementing Dodd-Frank Volcker Rule Must Be Finalized This Summer
2012-04-26 08:30Jim Hamilton's World of Securities Regulation - House Leaders Introduce Legislation Creating SRO for Investment Advisers
2012-04-25 16:30Jim Hamilton's World of Securities Regulation - SEC Chair Tells House Panel that SEC Rulemaking Teams Working on Complex JOBS Act Implementing Regulations
2012-04-25 12:00Jim Hamilton's World of Securities Regulation - H&R Block Subsidiary Enters Into Multi-Million Dollar Subprime Settlement
2012-04-24 12:30Jim Hamilton's World of Securities Regulation - SEC Warns Issuers on Premature Use of Crowdfunding Exemption
2012-04-24 10:00Jim Hamilton's World of Securities Regulation - Advocacy Group Files Amicus Brief Supporting CFTC Position Limits Regulations
2012-04-23 12:30Jim Hamilton's World of Securities Regulation - Missouri Offers Guidance on Crowdfunding Exemption
2012-04-22 16:00Jim Hamilton's World of Securities Regulation - Community Banking Group Urges Inclusion of Thrifts in JOBS Act Raising of Shareholder Threshold
2012-04-21 00:00Jim Hamilton's World of Securities Regulation - IASB Advisory Group Examines Issues Around Materiality
2012-04-20 16:30Jim Hamilton's World of Securities Regulation - New CF Guidance for Smaller Financial Institutions
2012-04-20 15:30Jim Hamilton's World of Securities Regulation - ESMA Standards and Guidance Aim for Consistent Application of EU Hedge Fund Directive
2012-04-20 07:00Jim Hamilton's World of Securities Regulation - G-30 Report Says Understanding Risk Is the Essence of Corporate Governance
2012-04-19 15:30Jim Hamilton's World of Securities Regulation - SEC Chair Tells House Oversight Panel of Enhanced Role for Economists in SEC Rulemaking
2012-04-19 15:00Jim Hamilton's World of Securities Regulation - Volcker Rule Conformance Period Clarified
2012-04-18 23:00Jim Hamilton's World of Securities Regulation - House Panel Approves Budget Legislation Repealing Dodd-Frank Office of Financial Research
2012-04-18 21:30Jim Hamilton's World of Securities Regulation - Secretary Geithner Urges House Panel Not to Repeal Dodd-Frank Orderly Liquidation Title as Part of Budget Legislation
2012-04-18 18:30Jim Hamilton's World of Securities Regulation - ICI AND Chamber Challenge CFTC Rule on Registration of Mutual Funds
2012-04-18 17:30Jim Hamilton's World of Securities Regulation - SEC Adopts Key Definitions for Security-Based Swaps
2012-04-18 16:30Jim Hamilton's World of Securities Regulation - Corp Fin to Republish Certain Exchange Act and Securities Act Orders in EDGAR
2012-04-18 16:00Jim Hamilton's World of Securities Regulation - NASAA Re-Proposes Model Franchise Exemptions
2012-04-16 22:00Jim Hamilton's World of Securities Regulation - Commissioner Walter Tells Senate Panel that SEC is Coordinating Cross-Border on OTC Derivatives Regulation
2012-04-16 21:30Jim Hamilton's World of Securities Regulation - NASAA Suggests Improvements to Valuation of Unlisted REITs and DPPs
2012-04-16 14:30Jim Hamilton's World of Securities Regulation - Corp Fin Issues Guidance on JOBS Act Title I
2012-04-16 11:00Jim Hamilton's World of Securities Regulation - CPSS, IOSCO Issue Final Report on Principles for Financial Market Infrastructures
2012-04-15 23:30Jim Hamilton's World of Securities Regulation - US Senator Asks SEC to Exempt 100 Percent Recycled Tungsten from Conflict Minerals Reporting
2012-04-15 23:00Jim Hamilton's World of Securities Regulation - US Senator Fears that Proposed Volcker Regulations Could Negatively Impact Small Banks and Market Liquidity
2012-04-15 22:30Jim Hamilton's World of Securities Regulation - House Panel Proposes to End Parts of Dodd-Frank Orderly Liquidation for Deficit Reduction
2012-04-14 14:30Jim Hamilton's World of Securities Regulation - US Senators File Amicus Brief Supporting CFTC in Position Limits Case
2012-04-14 12:30Jim Hamilton's World of Securities Regulation - SEC Study Offers Options on Cross-Border Private Securities Actions after Morrison
2012-04-13 21:30Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Allowing Swaps Data Sharing with Foreign Regulators
2012-04-13 16:00Jim Hamilton's World of Securities Regulation - Rep. Maxine Waters to Address NASAA's Public Policy Conference
2012-04-12 17:30Jim Hamilton's World of Securities Regulation - Corp Fin Issues FAQ on JOBS Act Impact on Exchange Act Registration and Reporting
2012-04-12 16:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Views Risk Mitigation and Regulatory Arbitrage under EU EMIR Derivatives Regulation
2012-04-11 19:00Jim Hamilton's World of Securities Regulation - Financial Stability Board Sets 2012 Timeframes for Shadow Banking Projects Involving Hedge Funds and Money Market Funds
2012-04-11 14:00Jim Hamilton's World of Securities Regulation - SEC Sets Up Public Comment Mechanism Ahead of JOBS Act Rulemaking
2012-04-11 12:00Jim Hamilton's World of Securities Regulation - Texas Adopts Performance Fee and Administrative Procedure Rule Amendments
2012-04-11 11:30Jim Hamilton's World of Securities Regulation - In Wake of FSOC Regulations, Fed Chair Examines Hedge Funds and Other Non-Bank Financial Firms in the Shadow Banking System
2012-04-11 10:30Jim Hamilton's World of Securities Regulation - Corp Fin Issues Frequently Asked Questions for Confidential JOBS Act Submissions
2012-04-10 15:00Jim Hamilton's World of Securities Regulation - Hedge Fund, Securities and Banking Industries Ask Supreme Court to Protect Credit Bidding for Secured Lenders under Bankruptcy Code
2012-04-10 12:30Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Applauds Singaporean Efforts at Cross-Border Harmonization of OTC Derivatives Regulation
2012-04-09 19:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges Enhanced Governance and Transparency for Derivatives Central Counterparties under EMIR
2012-04-09 11:00Jim Hamilton's World of Securities Regulation - Center for Audit Quality Urges COSO to Enhance Updated Internal Controls Framework
2012-04-07 15:30Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Comments on ESMA Concept Release on EU Hedge Fund Directive
2012-04-06 19:30Jim Hamilton's World of Securities Regulation - Disclosure and Other Comprehensive Income Are Items on IASB's Future Agenda Says Chairman Hoogervorst
2012-04-06 16:00Jim Hamilton's World of Securities Regulation - SEC Reopens Comment Period on Target Date Fund Proposal
2012-04-06 13:30Jim Hamilton's World of Securities Regulation - House Legislation Was Designed to Clarify Dodd-Frank Intent on End User Exemption
2012-04-06 13:00Jim Hamilton's World of Securities Regulation - SEC Charges Texas Bank Holding Company's CEO, CFO with Misleading Investors on Loan Quality, Financial Health
2012-04-05 17:30Jim Hamilton's World of Securities Regulation - President Vows Rigorous Oversight in Signing JOBS Act
2012-04-05 17:00Jim Hamilton's World of Securities Regulation - Corp Fin Issues Instructions for JOBS Act Confidential Submissions
2012-04-05 16:00Jim Hamilton's World of Securities Regulation - President Signs JOBS Act Providing for IPO On-Ramp and Crowdfunding
2012-04-05 11:00Jim Hamilton's World of Securities Regulation - U.S., Canadian Regulators Discuss Cross-Border Oversight
2012-04-04 18:00Jim Hamilton's World of Securities Regulation - President Signs STOCK Act Prohibiting Insider Trading by Federal Officials
2012-04-04 14:30Jim Hamilton's World of Securities Regulation - House Legislation Would Prohibit PCAOB from Mandating Auditor Rotation
2012-04-04 11:00Jim Hamilton's World of Securities Regulation - FSOC Adopts Final Rule on Nonbank Financial Companies
2012-04-03 20:00Jim Hamilton's World of Securities Regulation - Legislation Exempting Inter-Affiliate Swaps from Dodd-Frank Has Important Protections and Risk Management Features
2012-04-02 18:30Jim Hamilton's World of Securities Regulation - House Passes Bi-Partisan Legislation Exempting Inter-Affiliate Swaps from Dodd-Frank Derivatives Regulation
2012-04-02 15:00Jim Hamilton's World of Securities Regulation - Kansas Allows Continuation of De Minimis Exemption for Advisers

 

<< Archive Index • Subscribe >>

 

FeedBlitz Top Slot
powered byad choices
 
 
© FeedBlitz® - Win the Inbox ™ | feedblitz.com | info@feedblitz.com | Privacy | Terms of Service
 English | Português | Français | Español | Italiano | Nederlands | Svenska | Deutsch | 日本語