Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for August, 2016

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2016-08-31 10:30		Jim Hamilton's World of Securities Regulation - End of the road reached in FOIA request saga
2016-08-30 14:00		Jim Hamilton's World of Securities Regulation - Cheetah reinvents the legal research process: interview with Wolters Kluwer's Dean Sonderegger
2016-08-30 11:00		Jim Hamilton's World of Securities Regulation - No SOX shield for ex-CEO complaining about disclosures he certified
2016-08-29 08:30		Jim Hamilton's World of Securities Regulation - GAO examines conflict minerals reports, cites Commerce's failure to fulfill Dodd-Frank responsibilities
2016-08-26 13:30		Jim Hamilton's World of Securities Regulation - California leads: Public pension funds must disclose private equity fees
2016-08-25 16:00		Jim Hamilton's World of Securities Regulation - Commodities 'spoofing statute' survives constitutional challenge
2016-08-24 11:30		Jim Hamilton's World of Securities Regulation - 'Deplorable' conduct will cost shady CEO $7.M in rival's attorney fees
2016-08-23 09:30		Jim Hamilton's World of Securities Regulation - Commission reverses ALJ on short-selling customer's fraud liability
2016-08-22 08:30		Jim Hamilton's World of Securities Regulation - SEC approves FINRA's capital acquisition broker rules
2016-08-19 11:30		Jim Hamilton's World of Securities Regulation - Industry worries about incomplete Treasury trade reporting
2016-08-18 11:00		Jim Hamilton's World of Securities Regulation - Former enforcement director asks SEC to limit retroactive application of penalty increases
2016-08-17 08:30		Jim Hamilton's World of Securities Regulation - Comment period closes on PCAOB's reproposal to revise the auditor's reporting model
2016-08-16 11:00		Jim Hamilton's World of Securities Regulation - Time limit established for actions by NCUA as conservator or liquidating agent
2016-08-15 08:30		Jim Hamilton's World of Securities Regulation - SROs' upcoming rules changes will address trading halts
2016-08-12 13:00		Jim Hamilton's World of Securities Regulation - FCM let off the hook for not recording customer's phone call
2016-08-11 10:30		Jim Hamilton's World of Securities Regulation - NIRI urges SEC to focus on materiality of business and financial disclosure
2016-08-10 09:00		Jim Hamilton's World of Securities Regulation - Swisher Hygiene folds in wake of accounting fraud
2016-08-09 10:00		Jim Hamilton's World of Securities Regulation - Private action plaintiffs urge court to deny Kraft request for interlocutory appeal
2016-08-08 08:30		Jim Hamilton's World of Securities Regulation - FINRA exam to target non-traded business development companies
2016-08-05 10:00		Jim Hamilton's World of Securities Regulation - ISDA seeks delay in dissemination of security-based swap information under Regulation SBSR
2016-08-04 08:30		Jim Hamilton's World of Securities Regulation - Qualcomm's antitrust troubles don't implicate directors in derivative suit
2016-08-03 11:30		Jim Hamilton's World of Securities Regulation - Piwowar calls for better disclosure by SEC-registered banks
2016-08-02 11:00		Jim Hamilton's World of Securities Regulation - Comment period ends for proposal on supervising work of other auditors
2016-08-01 08:30		Jim Hamilton's World of Securities Regulation - Bankruptcy court failed to impute CEO's intent to Lyondell

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