Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for September, 2015

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2015-09-30 06:00		Jim Hamilton's World of Securities Regulation - CFTC Chairman Massad Expects Cybersecurity Proposal, Uncleared Swaps Margin Final Rule by Year End
2015-09-29 11:00		Jim Hamilton's World of Securities Regulation - SEC Fails in Quest to Compel Former Bank Employees to Disclose Secret Smartphone Passcodes
2015-09-29 10:30		Jim Hamilton's World of Securities Regulation - SEC Provides Additional Volcker Rule Guidance
2015-09-28 10:30		Jim Hamilton's World of Securities Regulation - Judge Nixes SEC Bid to Hear In-House Case as Eleventh Circuit Mulls ALJ Issue
2015-09-25 14:00		Jim Hamilton's World of Securities Regulation - CFTC Chides TeraExchange Over Bitcoin Hoopla, Wash Trades
2015-09-24 18:00		Jim Hamilton's World of Securities Regulation - The SEC's ALJs: Channeling the Appointments Clause
2015-09-24 09:00		Jim Hamilton's World of Securities Regulation - Staff Concedes Unintended Consequences to Literal Reading of Investment Adviser Rule
2015-09-23 06:30		Jim Hamilton's World of Securities Regulation - Former Fannie Mae Execs Escape With Mild Spanking
2015-09-22 11:30		Jim Hamilton's World of Securities Regulation - JPMorgan Had No Control Over Madoff
2015-09-21 08:00		Jim Hamilton's World of Securities Regulation - CFTC Fines Swap Dealer $150,000 in First Penalty for Large Trader Swap Reporting Violations
2015-09-18 14:00		Jim Hamilton's World of Securities Regulation - Trinity Takes Wal-Mart Gun Proposal to the Top
2015-09-17 09:00		Jim Hamilton's World of Securities Regulation - Mark Cuban Joins Increasing Clamor Against SEC Administrative Proceedings
2015-09-16 08:00		Jim Hamilton's World of Securities Regulation - ICI and Chamber of Commerce Opine on Proposed Clawback Rules
2015-09-15 06:30		Jim Hamilton's World of Securities Regulation - Hedge Fund Adviser's Cert Petition Cites Federal-State Conflicts on Fiduciary Duty, Seller Liability
2015-09-14 13:30		Jim Hamilton's World of Securities Regulation - LedgerX Gains Temporary Approval to Operate Bitcoin Options Exchange
2015-09-11 11:30		Jim Hamilton's World of Securities Regulation - Government Repeats Call for Review of Insider Trading Law 'Upheaval'
2015-09-10 11:30		Jim Hamilton's World of Securities Regulation - Rebuffed Amgen Fiduciaries Take ESOP Case to High Court
2015-09-09 12:00		Jim Hamilton's World of Securities Regulation - Commission Finds Article II Inapt to 'Employee' ALJs
2015-09-08 10:00		Jim Hamilton's World of Securities Regulation - Fifth Circuit Begged the Question on FIRREA, SIFMA Argues
2015-09-04 13:00		Jim Hamilton's World of Securities Regulation - SEC Sanctions CCO Who Failed to Supervise Fraudster Husband
2015-09-03 12:00		Jim Hamilton's World of Securities Regulation - U.S. Leads the Way in Reform of Money Market Fund Regulation, IOSCO Finds
2015-09-02 10:30		Jim Hamilton's World of Securities Regulation - Validation of Defective Stock Warranted, but Final Judgment Premature
2015-09-01 10:30		Jim Hamilton's World of Securities Regulation - Board Members Accused of Coercing Shareholders to Increase Their Compensation Win Appeal

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