Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for July, 2016

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2016-07-29 08:30		Jim Hamilton's World of Securities Regulation - NASAA proposes concentration limits for non-traded REIT investments
2016-07-28 08:30		Jim Hamilton's World of Securities Regulation - CFTC proposes to expand registration exemption for certain foreign intermediaries
2016-07-27 08:30		Jim Hamilton's World of Securities Regulation - Parliament report on HBOS failure outlines lessons for regulators
2016-07-26 08:30		Jim Hamilton's World of Securities Regulation - Business Roundtable weighs in on incentive-based compensation proposal just in time
2016-07-25 08:30		Jim Hamilton's World of Securities Regulation - SIFMA urges principles, priorities for SEC's disclosure reforms
2016-07-22 13:30		Jim Hamilton's World of Securities Regulation - Derek Jeter's undies endorsement flummoxes chancery court
2016-07-21 08:30		Jim Hamilton's World of Securities Regulation - In absence of scienter, Crocs auditor walks away
2016-07-20 11:30		Jim Hamilton's World of Securities Regulation - CII seeks stronger clawback language in incentive-based compensation proposal
2016-07-19 10:30		Jim Hamilton's World of Securities Regulation - Massachusetts guides IAs who use robo-advisers
2016-07-18 08:30		Jim Hamilton's World of Securities Regulation - Amicus backing Rabobank LIBOR defendants: no misrepresentation, no fraud
2016-07-15 10:00		Jim Hamilton's World of Securities Regulation - SEC's Investor Advisory Committee considers current state of sustainability reporting
2016-07-14 10:00		Jim Hamilton's World of Securities Regulation - Alleged 'spoofer' escapes injunction, but trading restricted until trial
2016-07-13 08:30		Jim Hamilton's World of Securities Regulation - Fair value of DFC shares higher under revised valuation method
2016-07-12 08:30		Jim Hamilton's World of Securities Regulation - Agency officials discuss developments post-Newman, commodities insider trading
2016-07-11 10:00		Jim Hamilton's World of Securities Regulation - Court affirms judgment against attorney who wrote false opinion letter
2016-07-08 13:30		Jim Hamilton's World of Securities Regulation - Deutsche's closed-end funds may not omit shareholder proposals seeking declassified boards
2016-07-07 10:00		Jim Hamilton's World of Securities Regulation - Coming to terms with U.K. leave vote
2016-07-06 11:30		Jim Hamilton's World of Securities Regulation - Fixed indexed annuities are not securities under the Illinois Securities Law
2016-07-05 08:30		Jim Hamilton's World of Securities Regulation - '33 Act class actions belong in federal court, say SIFMA, Chamber
2016-07-01 09:30		Jim Hamilton's World of Securities Regulation - PCAOB's Harris raises alarm about increase in Big Four firms' consulting and advisory services

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