Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for May, 2016

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2016-05-31 09:30		Jim Hamilton's World of Securities Regulation - Giancarlo warns that proposed Reg AT may force many to register as floor traders
2016-05-26 11:00		Jim Hamilton's World of Securities Regulation - Valeant staff comment dialogue spotlights non-GAAP measures
2016-05-25 10:30		Jim Hamilton's World of Securities Regulation - SEC to up 'qualified client' threshold for performance-based fees
2016-05-24 13:00		Jim Hamilton's World of Securities Regulation - Omitting speculative projections was not bad faith
2016-05-23 11:00		Jim Hamilton's World of Securities Regulation - Nasdaq hints at legal challenge to IEX quotations delay
2016-05-20 12:00		Jim Hamilton's World of Securities Regulation - SEC nominees move forward in confirmation process
2016-05-19 12:30		Jim Hamilton's World of Securities Regulation - SEC updates C&DIs on non-GAAP financial measures
2016-05-18 12:30		Jim Hamilton's World of Securities Regulation - SEC okays FINRA rule for brokers bringing customers to new firm
2016-05-17 10:00		Jim Hamilton's World of Securities Regulation - Regulators propose crowdfunding model rule for state offerings
2016-05-16 08:30		Jim Hamilton's World of Securities Regulation - Hensarling touts FSC plans to send the Dodd-Frank to the 'trash heap'
2016-05-13 16:30		Jim Hamilton's World of Securities Regulation - White describes initiatives for smaller company capital formation at IOSCO meeting
2016-05-12 11:30		Jim Hamilton's World of Securities Regulation - Electronic trading for fixed income gaining momentum, FINRA economist says
2016-05-11 11:00		Jim Hamilton's World of Securities Regulation - Giancarlo details Hippocratic oath for blockchain regulations
2016-05-10 08:30		Jim Hamilton's World of Securities Regulation - EC sees no current need for EU-level crowdfunding regulation
2016-05-09 07:30		Jim Hamilton's World of Securities Regulation - Nothing's shocking as Electrical Workers case is sent back to state court
2016-05-06 19:00		Jim Hamilton's World of Securities Regulation - Cyber bill would up ante for internal controls reporting
2016-05-05 10:00		Jim Hamilton's World of Securities Regulation - ECB study calls for tighter controls on release of market-moving news
2016-05-04 11:30		Jim Hamilton's World of Securities Regulation - NASAA proposes policy on electronic offering documents
2016-05-03 11:00		Jim Hamilton's World of Securities Regulation - Blockchain protocol for financial firms released as open source software
2016-05-02 10:30		Jim Hamilton's World of Securities Regulation - Agency officials give views on derivatives enforcement trends

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