Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for October, 2016

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2016-10-31 10:30		Jim Hamilton's World of Securities Regulation - Data on SEC cases show commissioners' agreement, occasional fault lines
2016-10-28 08:30		Jim Hamilton's World of Securities Regulation - PCAOB's Harris eyes threats to independence, plugs expanded auditor's report
2016-10-27 13:00		Jim Hamilton's World of Securities Regulation - OCIE issues risk alert on compliance with whistleblower rule
2016-10-26 08:30		Jim Hamilton's World of Securities Regulation - DERA official says human judgment has role as SEC deploys 'Big Data' tools
2016-10-25 12:30		Jim Hamilton's World of Securities Regulation - Regulators discuss need for better data, increased oversight in U.S. Treasury market
2016-10-24 08:30		Jim Hamilton's World of Securities Regulation - Massad discusses possible adjustments to Regulation AT proposal
2016-10-21 12:00		Jim Hamilton's World of Securities Regulation - Dow board won't face suit over $1B price-fixing judgment
2016-10-20 08:30		Jim Hamilton's World of Securities Regulation - New C&DIs explain pay ratio disclosure and benefit plans, restricted securities
2016-10-19 16:30		Jim Hamilton's World of Securities Regulation - Allegations of unsuitable sales of reverse convertibles precluded by SLUSA
2016-10-19 16:00		Jim Hamilton's World of Securities Regulation - Download the Top Securities Developments for September 2016
2016-10-18 08:30		Jim Hamilton's World of Securities Regulation - Former commissioners Pitt and Gallagher critical of current securities enforcement, regulatory landscape
2016-10-17 10:30		Jim Hamilton's World of Securities Regulation - 'Turnaround Queen' reverses course, withdraws latest suit against SEC
2016-10-14 15:00		Jim Hamilton's World of Securities Regulation - CFTC extends date for swap dealer registration de minimis threshold
2016-10-13 08:30		Jim Hamilton's World of Securities Regulation - Paxton pretrial habeas petition refused
2016-10-12 08:30		Jim Hamilton's World of Securities Regulation - Demand futility must be pleaded even for a part-direct claim
2016-10-11 11:30		Jim Hamilton's World of Securities Regulation - Commenters discuss SEC/FASB overlap and tax disclosure
2016-10-10 12:30		Jim Hamilton's World of Securities Regulation - CFTC signs cooperation agreement with U.K. FCA on supervision of cross-border firms
2016-10-07 13:30		Jim Hamilton's World of Securities Regulation - 'Tandy' text recedes from filing review process
2016-10-06 10:00		Jim Hamilton's World of Securities Regulation - Advisory committee considers disclosure, diversity, capital issues affecting small companies
2016-10-05 11:30		Jim Hamilton's World of Securities Regulation - SEC says Microsoft's proxy access bylaw does not substantially implement shareholder proposal
2016-10-04 10:30		Jim Hamilton's World of Securities Regulation - Mass. regulator says Morgan Stanley cross-selling 'sales contests' ran amok, may have hurt clients
2016-10-03 08:30		Jim Hamilton's World of Securities Regulation - House science committee seeks answers in SEC's Exxon investigation

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