Click a link below to view the mailing archive as if it had been sent to you. . 2015-07-31 12:30 Jim Hamilton's World of Securities Regulation - NASAA Backs Extending Fiduciary Duty to IRAs. 2015-07-30 10:30 Jim Hamilton's World of Securities Regulation ...
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Jim Hamiltons World of Securities Regulation Archive for July, 2015

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

2015-07-31 12:30Jim Hamilton's World of Securities Regulation - NASAA Backs Extending Fiduciary Duty to IRAs
2015-07-30 10:30Jim Hamilton's World of Securities Regulation - Human Trafficking Bill Would Add to Supply Chain Duties
2015-07-29 16:30Jim Hamilton's World of Securities Regulation - New Hampshire Adopts Uniform Securities Act
2015-07-28 09:00Jim Hamilton's World of Securities Regulation - Latest Turn in Duka Administrative Proceeding: New Presiding Judge
2015-07-28 08:00Jim Hamilton's World of Securities Regulation - Appeals Court Hits 'Like' on Dismissal of Facebook IPO Suits
2015-07-27 09:30Jim Hamilton's World of Securities Regulation - Appeals Court Hits 'Like' on Dismissal of Facebook IPO Suits
2015-07-24 22:00Jim Hamilton's World of Securities Regulation - Commissioners Urge SEC to Address Impermissible Retroactive Collateral Bars
2015-07-23 10:30Jim Hamilton's World of Securities Regulation - FSOC Fights Document Production in MetLife SIFI-Designation Case
2015-07-22 12:00Jim Hamilton's World of Securities Regulation - SIFMA Raises 'Deep Concerns' Over DOL Retirement Fiduciary Rule
2015-07-21 11:00Jim Hamilton's World of Securities Regulation - SEC Staff Updates Guidance Under the Volcker Rule
2015-07-20 10:30Jim Hamilton's World of Securities Regulation - Senator Warren Asks Regulators for Data on Rollback of Swaps Pushout
2015-07-17 13:30Jim Hamilton's World of Securities Regulation - IAC Examines Fund Fee and Expense Disclosure Issues
2015-07-16 09:00Jim Hamilton's World of Securities Regulation - NASAA Critical of FINRA Proposal on Disclosures Required of Brokers Bringing Customers to New Firms
2015-07-15 10:30Jim Hamilton's World of Securities Regulation - SEC Hosts National Compliance Outreach Program for Broker-Dealers
2015-07-14 10:30Jim Hamilton's World of Securities Regulation - House to Vote on Small Business Bills, Other Revisions
2015-07-13 09:30Jim Hamilton's World of Securities Regulation - Washington Proposes Regulation A Tier 2 Notice Filing
2015-07-10 22:30Jim Hamilton's World of Securities Regulation - House FSC Hears Testimony on Stability Following Dodd-Frank
2015-07-09 12:30Jim Hamilton's World of Securities Regulation - Sen. Warren Bill Sees Future in Glass-Steagall's Past
2015-07-08 18:00Jim Hamilton's World of Securities Regulation - NYSE Suspends All Trading for Three Hours Due to 'Technical Issue'
2015-07-08 10:30Jim Hamilton's World of Securities Regulation - It's All Relative: Tipping Family Members Is Sufficient to Establish Breach of Fiduciary Duty
2015-07-07 08:30Jim Hamilton's World of Securities Regulation - Newman No Help to Gupta; No Quid Pro Quo Required for Tipper Liability
2015-07-06 10:00Jim Hamilton's World of Securities Regulation - 'Turnaround Queen' Tilton Seeks Reversal of Fortune in Second Circuit
2015-07-03 11:00Jim Hamilton's World of Securities Regulation - Fifth Circuit Seeks Mulligan on Texas Law Question in Golf Channel case
2015-07-02 08:30Jim Hamilton's World of Securities Regulation - District Court Lacks Jurisdiction Over Constitutional Claims Against SEC ALJs
2015-07-01 08:30Jim Hamilton's World of Securities Regulation - Commissioners Piwowar, Stein United on Move to T+2 Settlement

 

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