Click a link below to view the mailing archive as if it had been sent to you. . 2012-05-31 20:30 Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Adjusting Date of Asset Test for Banks Counting Trust Preferred Securities ...
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Jim Hamiltons World of Securities Regulation Archive for May, 2012

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2012-05-31 20:30Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Adjusting Date of Asset Test for Banks Counting Trust Preferred Securities as Tier 1 Capital
2012-05-31 16:30Jim Hamilton's World of Securities Regulation - NASAA Suggests Improvements to Expungement Process
2012-05-31 13:00Jim Hamilton's World of Securities Regulation - NFA Proposes New Seg Funds Requirement, AKA ``Corzine Rule''
2012-05-31 11:30Jim Hamilton's World of Securities Regulation - SEC Staff Advise Foreign Private Issuers on Confluence of Non-Public Submission Policy and JOBS Act Emerging Growth Companies
2012-05-30 19:30Jim Hamilton's World of Securities Regulation - NY Court of Appeals Refuses to Carve Out Exception from Employee-At-Will Doctrine for Hedge Fund Compliance Officer
2012-05-30 18:30Jim Hamilton's World of Securities Regulation - Financial Industry Applauds US Supreme Court Ruling Protecting Credit Bidding for Secured Lenders under Bankruptcy Code
2012-05-30 15:30Jim Hamilton's World of Securities Regulation - Second Circuit Allows S-K Item 303 Claim Against Chip Maker to Proceed
2012-05-30 15:00Jim Hamilton's World of Securities Regulation - Fed Adopts Final Rule for Registration of Securities Holding Companies
2012-05-30 13:00Jim Hamilton's World of Securities Regulation - Kentucky Adds Inspection Fees for IAs with AUM Exceeding $20 Million and for Firms Employing Issuer-Agents
2012-05-30 12:30Jim Hamilton's World of Securities Regulation - House Members Urge SEC, CFTC and Banking Agencies Not to Delay Volcker Regulations
2012-05-30 12:00Jim Hamilton's World of Securities Regulation - SEC Staff Begins to Issue JOBS Act Comment Letters on EGC Status
2012-05-30 11:00Jim Hamilton's World of Securities Regulation - SEC Approves FINRA Fee Schedule for Filing of Form PF by Hedge Fund and Private Fund Advisers
2012-05-30 10:30Jim Hamilton's World of Securities Regulation - Washington Adopts Mortgage Paper Securities Rule Amendments
2012-05-29 20:00Jim Hamilton's World of Securities Regulation - House Leaders Urge SEC to Adopt Regulations Requiring Disclosure of Corporate Spending in Elections
2012-05-29 18:30Jim Hamilton's World of Securities Regulation - Pending EU Legislation Would Require Mandatory Rotation of Credit Rating Agencies
2012-05-29 17:30Jim Hamilton's World of Securities Regulation - Chair of China Securities Regulatory Commission Details Efforts to Open Up Financial Markets
2012-05-29 13:00Jim Hamilton's World of Securities Regulation - 2 new articles
2012-05-28 17:30Jim Hamilton's World of Securities Regulation - Incoming CEO of UK Financial Conduct Authority Says Dangerously Risky Financial Products Could Be Banned
2012-05-28 14:30Jim Hamilton's World of Securities Regulation - KPMG-AIMA Study Finds Institutionalization of Global Hedge Fund Industry and Concern over the Severe Impact of FATCA
2012-05-28 11:00Jim Hamilton's World of Securities Regulation - SEC Official Provides Checklist for Newly Registered Hedge Fund Advisers
2012-05-25 19:30Jim Hamilton's World of Securities Regulation - Group Asks Federal Court to Order SEC Issuance of Regulations Implementing Dodd-Frank Sec. 1504; Senators Comment on Proposed Regs
2012-05-25 14:30Jim Hamilton's World of Securities Regulation - Mortgage-Backed Securities Working Group Sets Up Whistleblower Hot Line; SEC Enforcement Director Details Efforts
2012-05-25 12:30Jim Hamilton's World of Securities Regulation - PCAOB Disciplined Audit Firm and Auditor Involved with Audits of China-Based Companies
2012-05-24 10:00Jim Hamilton's World of Securities Regulation - Kansas Waives Surety Bond Requirement for Investment Advisers
2012-05-23 12:30Jim Hamilton's World of Securities Regulation - NYSE Panel Urges Reform of Proxy Distribution Fee Structure; Proposal to SEC Expected
2012-05-22 18:30Jim Hamilton's World of Securities Regulation - Singapore Monetary Authority Suggests Efficacy of Board Risk Management Committee
2012-05-22 15:30Jim Hamilton's World of Securities Regulation - Senate Hearings Involving SEC and CFTC Chairs Examine Dodd-Frank Derivatives and Volcker Regulations; and JP Morgan Trading Loss
2012-05-21 17:00Jim Hamilton's World of Securities Regulation - NYSE Proposes Changes to Listing Standards to Accommodate JOBS Act Emerging Growth Companies
2012-05-21 13:00Jim Hamilton's World of Securities Regulation - In Letter to SEC, API Cites Executive Order in Asking SEC to Avoid Conflicts of Law in Dodd-Frank Section 1504 Regulations
2012-05-19 12:30Jim Hamilton's World of Securities Regulation - US Senator Reminds JP Morgan Chase of Dodd-Frank Clawback Provisions
2012-05-18 20:30Jim Hamilton's World of Securities Regulation - Securities Industry Comments on Impending SEC JOBS Act Regulations
2012-05-17 18:00Jim Hamilton's World of Securities Regulation - PCAOB Standing Advisory Group Examines Concept of Going Concern as Investor Angst Increases
2012-05-17 12:00Jim Hamilton's World of Securities Regulation - Missouri No-Action Letters Extend Section 203(b)(3) De Minimis Exemption for Advisers
2012-05-16 19:00Jim Hamilton's World of Securities Regulation - Mass. Securities Regulator Asks to Consult with SEC on Crowdfunding Regulations
2012-05-16 11:00Jim Hamilton's World of Securities Regulation - Chief of German Federal Financial Regulator Sees Importance of Regulating Shadow Banking and Derivatives
2012-05-15 15:00Jim Hamilton's World of Securities Regulation - Hong Kong SFC Proposes Enhanced IPO Sponsor Regulatory Regime
2012-05-15 14:00Jim Hamilton's World of Securities Regulation - SEC Law Judge Finds Egregious Conflict of Interest in Adviser's Recommendation of Hedge Fund Manager to Clients
2012-05-14 19:00Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Comments on UK Proposed Implementation of EU Hedge Fund Directive
2012-05-14 12:30Jim Hamilton's World of Securities Regulation - Asia Pacific Investment Fund Groups Say FATCA is an Unprecedented Imposition of US Tax Regime
2012-05-13 15:30Jim Hamilton's World of Securities Regulation - UK Central Bank Official Says Shadow Funds Sponsored by Banks Should Be Consolidated on Bank Balance Sheets; and MMFs Must Choose VNAV or CNAV
2012-05-12 13:30Jim Hamilton's World of Securities Regulation - In Letter to Treasury, House Leaders Say IRS Regulation on Non-Resident Alien Deposits Would Harm Financial Institutions
2012-05-11 19:30Jim Hamilton's World of Securities Regulation - Leading Member of Senate Banking Committee Calls for Hearings on JP Morgan Trading Losses
2012-05-11 16:30Jim Hamilton's World of Securities Regulation - Corp Fin to Launch Secure E-Mail System for Confidential JOBS Act Draft Submissions
2012-05-11 13:00Jim Hamilton's World of Securities Regulation - Business Roundtable Urges Senate to Pass Legislation Clarifying Derivatives End-User and Inter-Affiliate Swaps Exemptions
2012-05-11 12:30Jim Hamilton's World of Securities Regulation - Regulators Clarify that Swap Push Out Provision of Dodd-Frank Becomes Effective on July 16, 2013
2012-05-11 11:30Jim Hamilton's World of Securities Regulation - Rhode Island Adopts Private Fund Adviser Exemption
2012-05-11 09:00Jim Hamilton's World of Securities Regulation - SEC Brings Action against Chinese Audit Arm of Big Four Audit Network for Failing to Produce Work Papers
2012-05-10 13:00Jim Hamilton's World of Securities Regulation - Former Fed Chair Volcker Details Monitoring of Bank Proprietary Trading before Senate Panel; Discusses UK Ring Fencing
2012-05-10 12:30Jim Hamilton's World of Securities Regulation - More JOBS Act Guidance
2012-05-09 12:30Jim Hamilton's World of Securities Regulation - Finding Breach of Confidentiality Agreements, Delaware Chancellor Enjoins Acquiring Company from Making an Exchange or Tender Offer
2012-05-09 11:30Jim Hamilton's World of Securities Regulation - In Letter to IRS, Hedge Fund Industry Seeks Guidance on Proposed FATCA Regulations
2012-05-08 15:30Jim Hamilton's World of Securities Regulation - ABA Group Urges SEC to Clarify JOBS Act Regulations around Regulation D Changes
2012-05-08 12:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Group of House Members Cautions SEC on Money Market Fund Regulatory Reform
2012-05-07 19:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges SEC to Align Advisers Act and JOBS Act Advertising Regulations in Light of Lifting of Reg. D Ban
2012-05-07 16:30Jim Hamilton's World of Securities Regulation - Corp Fin Issues Additional Guidance on JOBS Act Title I
2012-05-07 12:00Jim Hamilton's World of Securities Regulation - Corp Fin Issues Note to Trust Indenture Act C&DI
2012-05-05 16:00Jim Hamilton's World of Securities Regulation - Senator Levin Urges SEC to Consider Tax Code Related Commodity Trading in Review of Use of Derivatives by Investment Companies
2012-05-05 15:30Jim Hamilton's World of Securities Regulation - IASB Chair Urges Integration of XBRL into Accounting Standard Setting
2012-05-04 17:00Jim Hamilton's World of Securities Regulation - Sen. Grassley Seeks SEC Assurance on the Protection of Sensitive Whistleblower Information
2012-05-03 14:00Jim Hamilton's World of Securities Regulation - FSA Executive Outlines the Regulators' Role in Sound Corporate Governance
2012-05-01 13:00Jim Hamilton's World of Securities Regulation - 2nd Circuit: Certification Properly Denied in RMBS Case

 

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