Click a link below to view the mailing archive as if it had been sent to you. . 2012-09-29 09:30 Jim Hamilton's World of Securities Regulation - Federal Judge Vacates and Remands CFTC's Dodd-Frank Position Limits Rule on Derivatives. 2012-09-28 16:30 ...
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Jim Hamiltons World of Securities Regulation Archive for September, 2012

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2012-09-29 09:30Jim Hamilton's World of Securities Regulation - Federal Judge Vacates and Remands CFTC's Dodd-Frank Position Limits Rule on Derivatives
2012-09-28 16:30Jim Hamilton's World of Securities Regulation - Martin Wheatley Urges UK Government Regulation of LIBOR
2012-09-28 09:30Jim Hamilton's World of Securities Regulation - Secretary Geithner Urges FSOC to Act Quickly on Money Market Fund Reform
2012-09-27 22:00Jim Hamilton's World of Securities Regulation - Supreme Court Will Review Case Involving SEC Enforcement Action for Market Timing and Statute of Limitations
2012-09-27 16:30Jim Hamilton's World of Securities Regulation - Federal Court Broadly Interprets Dodd-Frank Whistleblower Provision
2012-09-26 16:00Jim Hamilton's World of Securities Regulation - CFTC Chair Gensler Tells European Parliament that LIBOR Should Rely on Observable Transactions
2012-09-26 14:00Jim Hamilton's World of Securities Regulation - SEC to Receive Draft JOBS Act Registrations on EDGAR
2012-09-24 23:00Jim Hamilton's World of Securities Regulation - SEC Must Advance Financial Literacy for Underserved Communities Says Comm. Aquilar
2012-09-22 22:30Jim Hamilton's World of Securities Regulation - IASB Chair Says Concept of Prudence Permeates IFRS Despite Removal of Definition in Bow to Convergence with USGAAP
2012-09-22 16:00Jim Hamilton's World of Securities Regulation - Move Towards EU Regulations Away from Directives Will Reduce Regulatory Arbitrage Says ESMA Chair
2012-09-22 12:30Jim Hamilton's World of Securities Regulation - Mass. Securities Chief Urges SEC to Establish Accredited Investor Methods under JOBS Act Reg. D Measure
2012-09-22 00:00Jim Hamilton's World of Securities Regulation - Parliament Considers UK Draft Legislation Implementing Ring-Fencing of Retail from Investment Banking in Britain's Answer to Volcker Rule
2012-09-20 23:00Jim Hamilton's World of Securities Regulation - Joint House-Senate Hearings Examine Hedge Fund Carried Interest as Part of Federal Tax Reform
2012-09-20 17:30Jim Hamilton's World of Securities Regulation - Rep. King Will Introduce Bill Guaranteeing Int'l Comparability of Volcker Rule
2012-09-20 11:00Jim Hamilton's World of Securities Regulation - European Parliament Committee Approves Legislation Mandating Extractive Industry Disclosure
2012-09-19 23:30Jim Hamilton's World of Securities Regulation - House Passes Legislation Clarifying Scope of Dodd-Frank Municipal Advisor SEC Registration
2012-09-19 14:30Jim Hamilton's World of Securities Regulation - In Letter to Chairman Bachus, Int'l Banking Group Urges Volcker Rule Comity Review
2012-09-19 01:30Jim Hamilton's World of Securities Regulation - In Letter to Chairman Bachus, Securities Industry Sees Basel III as More Effective Than Volcker Rule
2012-09-18 17:00Jim Hamilton's World of Securities Regulation - No Turning Back on Volcker Rule and Dodd-Frank Implementation Says Treasury Senior Official
2012-09-18 16:00Jim Hamilton's World of Securities Regulation - Stock Transfer Association Shares JOBS Act Concerns with the SEC
2012-09-17 07:30Jim Hamilton's World of Securities Regulation - PCAOB Member Finds that Serious Deficiencies Continue in Outside Audits of Company Financial Statements
2012-09-16 21:30Jim Hamilton's World of Securities Regulation - US and UK Sign First FATCA Inter-Goverenmental Implementation Reciprocal Agreement
2012-09-16 21:00Jim Hamilton's World of Securities Regulation - House Leader Urges SEC to Quickly Implement JOBS Act Provision Ending Reg. D Ban on General Solicitation
2012-09-15 20:30Jim Hamilton's World of Securities Regulation - Hedge Fund Group Asks for Safe Harbor in Proposed SEC Rule Implementing JOBS Act
2012-09-15 20:00Jim Hamilton's World of Securities Regulation - Banking Industry Finds Legislation Exempting Banks from SEC Municipal Advisor Registration too Narrow
2012-09-14 20:00Jim Hamilton's World of Securities Regulation - Senator Corker Sees Common Ground at SEC on Money Market Reform
2012-09-14 16:30Jim Hamilton's World of Securities Regulation - SIFMA-FSR Publish Letter to Chairman Bachus on Planned Volcker Rule Hearing Before House Financial Services Committee
2012-09-13 10:30Jim Hamilton's World of Securities Regulation - SEC Staff Questions EGC Status in Merger with Blank Check Company
2012-09-12 19:00Jim Hamilton's World of Securities Regulation - Full Financial Services Committee Approves Legislation Clarifying Scope of Dodd-Frank Municipal Advisor Registration
2012-09-11 18:00Jim Hamilton's World of Securities Regulation - UK Will Reduce Audit Requirements on Small Companies
2012-09-11 11:30Jim Hamilton's World of Securities Regulation - Federal Court Dismisses One Negligence Claim Against SEC, But Second Claim May Proceed Based on Alleged SEC Duty to Report Broker/Adviser to SIPC
2012-09-10 20:30Jim Hamilton's World of Securities Regulation - Banking Industry Urges Congress to Fully Repeal the Volcker Rule Provisions of Dodd-Frank
2012-09-10 16:00Jim Hamilton's World of Securities Regulation - 2nd Circuit Allows Several Mortgage-Backed Securities Cases to Proceed
2012-09-08 11:00Jim Hamilton's World of Securities Regulation - Full Financial Services Committee Sets Mark-Up and Approval of Legislation Clarifying Scope of Dodd-Frank Municipal Advisor Registration
2012-09-07 20:30Jim Hamilton's World of Securities Regulation - SEC Staff Issues Risk Alert on Municipal Securities Pay-to-Play Practice
2012-09-06 14:00Jim Hamilton's World of Securities Regulation - Global Hedge Fund Group Scores Treatment of Investment Entity in FATCA Model Intergovernmental Agreement
2012-09-06 12:30Jim Hamilton's World of Securities Regulation - Chinese Business Leaders and Investment Professionals Speak Out on Short-Selling of US-Listed Chinese Companies
2012-09-06 12:00Jim Hamilton's World of Securities Regulation - Chinese Business Leaders and Investment Professionals Speak Out on Short-Selling of US-Listed Chinese Companies
2012-09-05 19:00Jim Hamilton's World of Securities Regulation - SEC Asks US Supreme Court to Deny Cert. in Case Involving Market Timing and Statute of Limitations
2012-09-05 16:30Jim Hamilton's World of Securities Regulation - Report on Hedge Funds and Risk Management Issued by Industry Association and Global Financial Services Firm
2012-09-04 17:30Jim Hamilton's World of Securities Regulation - UK FSA Enforcement Official Details Themes in Market Abuse Cases
2012-09-04 13:00Jim Hamilton's World of Securities Regulation - Fund Industry Seeks Stakeholder Involvement of Central Counterparty Governance in ESMA Draft Standards on OTC Derivatives Regulation
2012-09-04 09:00Jim Hamilton's World of Securities Regulation - Hong Kong Securities and Futures Commission Seeks Judicial Assistance to Obtain Audit Work Papers from Big Four Firm
2012-09-03 13:00Jim Hamilton's World of Securities Regulation - In Letter to ESMA, US Hedge Fund Industry Supports Straight Through Processing of Derivatives Transactions
2012-09-01 14:00Jim Hamilton's World of Securities Regulation - US and Global Hedge Fund Industries Concerned with Proposed CFTC Guidance on Cross-Border Application of Dodd-Frank Derivatives Rules
2012-09-01 11:30Jim Hamilton's World of Securities Regulation - SEC Issues Study on Financial Literacy Mandated by Dodd-Frank Act

 

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