Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for November, 2016

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2016-11-30 10:00		Jim Hamilton's World of Securities Regulation - EC unveils orderly resolution proposal for central counterparties
2016-11-29 08:30		Jim Hamilton's World of Securities Regulation - Board not liable for inability to extricate company from 'symbiotic' relationship
2016-11-28 08:30		Jim Hamilton's World of Securities Regulation - Corp Fin staff updates guidance on tender offers and schedules
2016-11-25 18:00		Jim Hamilton's World of Securities Regulation - CFTC FY 2016 sees 68 enforcement cases, $1.29B in sanctions
2016-11-23 12:30		Jim Hamilton's World of Securities Regulation - Trump Administration likely to modify, not eliminate, futures and derivatives reforms
2016-11-22 10:30		Jim Hamilton's World of Securities Regulation - FSOC working group on hedge funds recommends further analysis and monitoring
2016-11-21 12:30		Jim Hamilton's World of Securities Regulation - Gira addresses FINRA market initiatives at recent town hall forum
2016-11-18 08:30		Jim Hamilton's World of Securities Regulation - Issuers claim proxy advisers use one-size-fits-all approach, GAO tells Senate subcommittee
2016-11-17 10:30		Jim Hamilton's World of Securities Regulation - House Republicans ask White not to pass any 'midnight rulemaking'
2016-11-16 08:30		Jim Hamilton's World of Securities Regulation - Massad outlines areas of continued focus for derivatives regulation
2016-11-15 08:30		Jim Hamilton's World of Securities Regulation - Attorney knew that opinion letters were false
2016-11-14 08:30		Jim Hamilton's World of Securities Regulation - SEC updates Form S-8 C&DIs
2016-11-11 11:00		Jim Hamilton's World of Securities Regulation - Ceresney optimistic that Supreme Court will uphold Dirks insider trading test
2016-11-10 10:30		Jim Hamilton's World of Securities Regulation - IM Director Grim touts benefits of fund-regulation enhancements
2016-11-09 09:30		Jim Hamilton's World of Securities Regulation - SEC Chief Accountant urges filers to be ready for new accounting standards
2016-11-08 08:30		Jim Hamilton's World of Securities Regulation - SIFMA recommends alternative minimum transfer amount for uncleared swaps margin requirements
2016-11-07 08:30		Jim Hamilton's World of Securities Regulation - Apple may not exclude proxy access proposal, SEC says
2016-11-04 10:30		Jim Hamilton's World of Securities Regulation - Massachusetts proposes crowdfunding, Reg. A + notice filing requirements
2016-11-03 11:00		Jim Hamilton's World of Securities Regulation - Chamber urges SEC to keep focus on materiality in disclosure reform initiative
2016-11-02 08:30		Jim Hamilton's World of Securities Regulation - IM staff finds decrease in money market fund assets, shifts in portfolio composition
2016-11-01 13:00		Jim Hamilton's World of Securities Regulation - SEC backs Vanguard whistleblower's appeal

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