Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for January, 2016

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2016-01-29 15:00		Jim Hamilton's World of Securities Regulation - SEC Orders Canadian Adviser to Return $2.8M to Investors
2016-01-28 10:30		Jim Hamilton's World of Securities Regulation - Claim for Feeder Fund's Losses Is Derivative, Not Direct
2016-01-27 11:00		Jim Hamilton's World of Securities Regulation - SEC Approves, Seeks Comments on Amended FINRA Funding Portal Rules
2016-01-26 08:30		Jim Hamilton's World of Securities Regulation - NASAA Seeks to Close Gaps in M&A Broker Proposals
2016-01-25 12:00		Jim Hamilton's World of Securities Regulation - Massad Touts Recent Achievements, Discusses Early Priorities for 2016
2016-01-22 17:00		Jim Hamilton's World of Securities Regulation - Court Closes Book on AbbVie Inspection Demand
2016-01-21 11:00		Jim Hamilton's World of Securities Regulation - Six Companies Must Allow Vote on Proposal Favoring Share Repurchases Over Dividends
2016-01-20 13:00		Jim Hamilton's World of Securities Regulation - Amnesty International Wants Cobalt Included in Conflict Minerals Disclosure
2016-01-19 14:30		Jim Hamilton's World of Securities Regulation - State Law, Due Process Prevent Dismissal With Prejudice 'As to the World'
2016-01-18 08:30		Jim Hamilton's World of Securities Regulation - Dr. King's Universal Appeal Will Never Fade
2016-01-15 09:30		Jim Hamilton's World of Securities Regulation - Baker Hostetler Attorneys Identify and Discuss Key 2015 SEC Enforcement Actions
2016-01-14 14:30		Jim Hamilton's World of Securities Regulation - NorthWestern May Not Omit Greenhouse Gas Proposal
2016-01-13 15:00		Jim Hamilton's World of Securities Regulation - Illinois Proposes Mandating IA Business Continuity Plan
2016-01-12 10:00		Jim Hamilton's World of Securities Regulation - House Members Want to Repeal Cybersecurity Law
2016-01-11 15:30		Jim Hamilton's World of Securities Regulation - Additional Small Companies, Community Development Institutions May Avoid CFTC Clearing Requirement
2016-01-08 19:30		Jim Hamilton's World of Securities Regulation - Post-Sweep Guidance Addresses Potential Rule 12b-1 Violations
2016-01-07 11:00		Jim Hamilton's World of Securities Regulation - SEC's Lack of Response to a Petition Not the Same as Denial
2016-01-06 11:30		Jim Hamilton's World of Securities Regulation - Satirical Commenter on BATS Disruptive Trading Proposal Skewers Investor Advocate
2016-01-05 08:30		Jim Hamilton's World of Securities Regulation - Could Disclosure Be the Answer to Getting More Women on Boards?
2016-01-04 10:30		Jim Hamilton's World of Securities Regulation - SEC Extends Swaps Margin Requirements No-Action Position for Two Years

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