Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for September, 2017

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2017-09-29 11:30		Jim Hamilton's World of Securities Regulation - ALJ says Enforcement Division case against Tilton unproven
2017-09-28 10:30		Jim Hamilton's World of Securities Regulation - CFTC's chief enforcer underscores benefits of self-reporting and cooperation in NYU address
2017-09-27 08:00		Jim Hamilton's World of Securities Regulation - Petition asks: Does American Pipe tolling also apply to class actions?
2017-09-26 08:00		Jim Hamilton's World of Securities Regulation - Deputy chief accountant urges registrants to ramp up efforts to implement new standards
2017-09-25 08:00		Jim Hamilton's World of Securities Regulation - EC issues plan to revise EU financial industry supervision, give more power to ESMA
2017-09-22 10:30		Jim Hamilton's World of Securities Regulation - CFTC pursues its first action against alleged Bitcoin Ponzi operator
2017-09-21 09:30		Jim Hamilton's World of Securities Regulation - New C&DIs target Regulation D and Rule 147
2017-09-20 08:00		Jim Hamilton's World of Securities Regulation - Stein calls for global approach to cybersecurity challenges
2017-09-19 11:30		Jim Hamilton's World of Securities Regulation - ISDA offers suggestions for cross-border harmonization, CCP recovery and resolution
2017-09-18 10:30		Jim Hamilton's World of Securities Regulation - ABA panel seeks clarity on finders
2017-09-15 10:30		Jim Hamilton's World of Securities Regulation - MSRB cautions issuers on selective disclosure
2017-09-14 10:00		Jim Hamilton's World of Securities Regulation - Small business committee goes out urging revisit of registration exemption for compensatory plans
2017-09-13 11:30		Jim Hamilton's World of Securities Regulation - Private equity fund adviser, principal settle fee and expense failures for $300K
2017-09-12 10:00		Jim Hamilton's World of Securities Regulation - Giancarlo lauds regulatory deference as key to CCP supervision
2017-09-11 10:00		Jim Hamilton's World of Securities Regulation - SEC hosts dialogue on exchange-traded products
2017-09-08 12:00		Jim Hamilton's World of Securities Regulation - No award for whistleblowers who filed late claims
2017-09-07 18:30		Jim Hamilton's World of Securities Regulation - House passes Reg. A compliance bill; FSOC bill advances ahead of Senate mark-up
2017-09-06 12:30		Jim Hamilton's World of Securities Regulation - Court declines to bar "professional plaintiff" from serving as lead
2017-09-05 12:00		Jim Hamilton's World of Securities Regulation - Rep. Waters asks SEC to make conflict minerals enforcement a priority
2017-09-01 15:30		Jim Hamilton's World of Securities Regulation - NYSE seeks delay in important company news releases to prevent market disruption

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