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| 2012-07-31 13:00 | | Jim Hamilton's World of Securities Regulation - SEC Report Calls for Legislation to Enhance Oversight of Municipal Securities Market |
| 2012-07-30 16:30 | | Jim Hamilton's World of Securities Regulation - On SOX Tenth Anniversary, Senator Sarbanes and Rep. Oxley Note that Act Restored Investor Confidence in the Financial Markets |
| 2012-07-30 13:00 | | Jim Hamilton's World of Securities Regulation - U.S. Senators Ask Treasury to Respond to Concerns around Reciprocal FATCA Compliance Agreements with EU Countries |
| 2012-07-30 11:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2012-07-28 20:00 | | Jim Hamilton's World of Securities Regulation - NASAA Applauds Bill Authorizing SEC User Fees for Advisers |
| 2012-07-28 15:00 | | Jim Hamilton's World of Securities Regulation - CAQ Tells House Panel PCAOB Has Improved Audit Quality since Enactment of Sarbanes-Oxley |
| 2012-07-27 18:00 | | Jim Hamilton's World of Securities Regulation - Treasury and EU Countries Develop Compliance Framework for FATCA Compliance |
| 2012-07-27 12:30 | | Jim Hamilton's World of Securities Regulation - Obama Administration Asks for Public Comment in Aid of Federal Regulatory Reform |
| 2012-07-27 12:00 | | Jim Hamilton's World of Securities Regulation - President Obama Issues Veto Message on House-Passed Regulatory Freeze Legislation |
| 2012-07-26 20:00 | | Jim Hamilton's World of Securities Regulation - House Passes Regulatory Freeze Legislation that Also Imposes Added Rulemaking Duties on SEC, Including 404(b) Impact |
| 2012-07-26 17:00 | | Jim Hamilton's World of Securities Regulation - UK FSA Chair Sees Benefits from Ring-Fencing Commercial and Investment Banking Similar to Volcker Rule |
| 2012-07-26 16:30 | | Jim Hamilton's World of Securities Regulation - UK FSA Chair Sees Benefits from Ring-Fencing Commercial and Investment Banking Similar to Volcker Rule |
| 2012-07-26 16:00 | | Jim Hamilton's World of Securities Regulation - House Panel Hearings Reveal Support for Legislation Making PCAOB Proceedings Public |
| 2012-07-25 23:30 | | Jim Hamilton's World of Securities Regulation - NASAA Proposes Revisions to Form ADV Part 1B |
| 2012-07-25 14:30 | | Jim Hamilton's World of Securities Regulation - House Oversight Panel Questions CFTC Chair Gensler on Use of Guidance on Cross-Border Derivatives Regulation and Coordination with SEC |
| 2012-07-24 18:30 | | Jim Hamilton's World of Securities Regulation - Securities, Banking and Hedge Fund Industries Urged CFTC to Extend Comment Period on Proposed Cross-Border Guidance |
| 2012-07-24 12:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2012-07-24 10:00 | | Jim Hamilton's World of Securities Regulation - SEC Staff Publishes JOBS Act Decimals Study |
| 2012-07-23 13:00 | | Jim Hamilton's World of Securities Regulation - Second Circuit Panel Affirms FINRA Arbitration Award against Hedge Fund Prime Broker |
| 2012-07-22 13:30 | | Jim Hamilton's World of Securities Regulation - UK FRC Calls for EU-Wide Code of Conduct for Proxy Advisory Services and Coordination with SEC |
| 2012-07-21 15:00 | | Jim Hamilton's World of Securities Regulation - Hong Kong Regulators Revise Legislative Proposal for OTC Derivatives Oversight to Address Concerns Over Cross-Border Reach |
| 2012-07-20 15:00 | | Jim Hamilton's World of Securities Regulation - At House Hearings, Securities and Banking Industry Support Legislation Clarifying Scope of Dodd-Frank Municipal Advisor Provisions |
| 2012-07-19 20:00 | | Jim Hamilton's World of Securities Regulation - NY Fed Report Places Minimum Balance at Risk Approach at Center of Money Market Fund Reform |
| 2012-07-19 15:00 | | Jim Hamilton's World of Securities Regulation - FSOC Designates Eight Financial Market Utilities as Systemically Important |
| 2012-07-19 13:30 | | Jim Hamilton's World of Securities Regulation - FSOC Endorses Additional Reform of Money Market Funds as Outlined by SEC Chair Schapiro |
| 2012-07-18 18:30 | | Jim Hamilton's World of Securities Regulation - Chamber of Commerce Asks SEC to Re-propose Dodd-Frank Conflict Minerals Rule and Include Safe Harbor in Final Regulations |
| 2012-07-18 15:00 | | Jim Hamilton's World of Securities Regulation - GAO Report Cites OECD Guidance that Can Help Companies Comply with SEC Conflict Minerals Disclosure Regulations |
| 2012-07-18 14:30 | | Jim Hamilton's World of Securities Regulation - SEC Announces Meeting to Consider Conflict Minerals Rule, GAO Publishes Study |
| 2012-07-17 14:30 | | Jim Hamilton's World of Securities Regulation - Senate Hearings Reveal Concern with Differing SEC and CFTC Approaches to Cross-Border Application of Dodd-Frank Derivatives Regulations; CFTC Guidance Questioned |
| 2012-07-16 20:30 | | Jim Hamilton's World of Securities Regulation - Federal Judge Says Insurer Had to Keep Covering Hedge Fund Manager Costs in Defending Against Parallel SEC and DOJ Actions |
| 2012-07-16 14:00 | | Jim Hamilton's World of Securities Regulation - House Chairmen Introduce Legislation to Increase Liquidity for Small Public Companies |
| 2012-07-16 12:30 | | Jim Hamilton's World of Securities Regulation - IASB Officials Regret Lack of SEC Staff Recommendation on Incorporation of IFRS into US Reporting System |
| 2012-07-15 14:00 | | Jim Hamilton's World of Securities Regulation - SEC Staff Issues Report on Incorporating IFRS into US Financial Reporting System; Impact on PCAOB Seen as Minimal; Federal Tax Code Impacted |
| 2012-07-14 14:00 | | Jim Hamilton's World of Securities Regulation - Conforming Financial and Tax Accounting in Tax Reform Legislation Receives Cool Reception at Ways and Means Committee Hearing |
| 2012-07-13 20:00 | | Jim Hamilton's World of Securities Regulation - In Letter to FSOC Members, Leading Senators Urge Investigation of LIBOR Manipulation |
| 2012-07-13 12:00 | | Jim Hamilton's World of Securities Regulation - In Letters to CFTC and Agriculture Committee, Senator Grassley Seeks Answers on Regulation of Commodity Brokerage Firms |
| 2012-07-13 11:00 | | Jim Hamilton's World of Securities Regulation - Commission Publishes Listing Standards Guidance for Small Entities |
| 2012-07-12 14:30 | | Jim Hamilton's World of Securities Regulation - FINRA Offers Guidance on New Suitability Rule that Took Effect July 9, 2012 |
| 2012-07-12 12:00 | | Jim Hamilton's World of Securities Regulation - UK Financial Conduct Authority Will Make Increased Use of Enforcement Actions |
| 2012-07-11 18:30 | | Jim Hamilton's World of Securities Regulation - Leading House Democrats Urge DOL to Closely Coordinate with the SEC in Defining ERISA Fiduciary |
| 2012-07-11 14:00 | | Jim Hamilton's World of Securities Regulation - In Testimony before House Panel, Securities Industry Urges CFPB to Adopt Safe Harbor in Qualified Mortgage Regulations |
| 2012-07-11 13:30 | | Jim Hamilton's World of Securities Regulation - German Corporate Governance Code Revised |
| 2012-07-11 09:00 | | Jim Hamilton's World of Securities Regulation - NASAA Opens Registration for 95th Annual Conference |
| 2012-07-10 17:30 | | Jim Hamilton's World of Securities Regulation - "Chocolates" Not Sweet in FCPA Action |
| 2012-07-10 17:00 | | Jim Hamilton's World of Securities Regulation - Canadian Securities Administrators Weigh Regulation of Proxy Advisory Firms |
| 2012-07-10 13:00 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2012-07-09 20:30 | | Jim Hamilton's World of Securities Regulation - American Bankers Assoc. Seeks FATCA Exemption for US Banks Acting as Trustee for Foreign Trusts |
| 2012-07-08 21:30 | | Jim Hamilton's World of Securities Regulation - NASAA Consults with SEC on JOBS Act Rulemakings |
| 2012-07-08 13:00 | | Jim Hamilton's World of Securities Regulation - While Endorsing Proxy Advisory Services as Useful, Global Corporate Governance Group Calls for More Transparency |
| 2012-07-07 13:30 | | Jim Hamilton's World of Securities Regulation - In Comment Letter on EU Green Paper on Shadow Banking, Hedge Fund Standards Board Extols Investor Choice Offered by Alternative Funds |
| 2012-07-06 18:00 | | Jim Hamilton's World of Securities Regulation - ESMA Readies Derivatives Regulations with Globally Consistent End-User Exemption to Implement EMIR |
| 2012-07-06 07:30 | | Jim Hamilton's World of Securities Regulation - Champ Named SEC Director of the Division of Investment Management |
| 2012-07-05 20:30 | | Jim Hamilton's World of Securities Regulation - State Securities Officials Urge SEC to Require Enhanced Verification of Reg. D Investors in JOBS Act Regulations |
| 2012-07-05 18:00 | | Jim Hamilton's World of Securities Regulation - European Commission Adopts Short-Selling Regulations Developed by ESMA |
| 2012-07-05 13:30 | | Jim Hamilton's World of Securities Regulation - European Court of Justice Examines Elements of Inside Information and Market Abuse Directive in Case Involving German Company |
| 2012-07-04 16:00 | | Jim Hamilton's World of Securities Regulation - Finding CD Purchasers Were Not Customers of Stanford Broker-Dealer under SIPA, Federal Judge Denies SEC Request to Compel SIPC Proceeding |
| 2012-07-04 15:30 | | Jim Hamilton's World of Securities Regulation - Wolters Kluwer Financial Services to Host Webinar on EU Financial Regulation |
| 2012-07-03 18:00 | | Jim Hamilton's World of Securities Regulation - Better Markets Urges SEC to Test for Randomness of Returns to Determine Availability of Volcker Rule Hedging Position |
| 2012-07-03 17:00 | | Jim Hamilton's World of Securities Regulation - G-20 Calls for Globally Consistent Regulation of OTC Derivatives |
| 2012-07-03 14:00 | | Jim Hamilton's World of Securities Regulation - IASB Chair Seeks Closer Relationship with Securities Regulators |
| 2012-07-03 11:30 | | Jim Hamilton's World of Securities Regulation - Former SEC Commissioner Goldschmid Named to Second Term on IFRS Foundation |
| 2012-07-02 14:00 | | Jim Hamilton's World of Securities Regulation - SEC Schedules Open Meeting to Consider JOBS Act Title II and Other Issues |
| 2012-07-02 13:30 | | Jim Hamilton's World of Securities Regulation - In Approving Settlement of SEC Enforcement Action, Federal Judge Urges Congress to Empower SEC to Recover More for Investors |
| 2012-07-02 11:30 | | Jim Hamilton's World of Securities Regulation - 2 new articles |
| 2012-07-01 15:00 | | Jim Hamilton's World of Securities Regulation - Former SEC Chair Harold Williams Supports Mandatory Auditor Rotation |
| 2012-07-01 13:30 | | Jim Hamilton's World of Securities Regulation - PCAOB Member Franzel Stresses Role of Audit Committees at Recent Hearing While Chairman Doty Emphasizes Cross-Border Implications |
