Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for February, 2018

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2018-02-28 10:30		Jim Hamilton's World of Securities Regulation - Commissioner Quintenz's remarks to Structured Finance Industry Group don't stay in Vegas
2018-02-27 10:30		Jim Hamilton's World of Securities Regulation - IOSCO proposes guidance on conflicts of interest in capital raising
2018-02-26 10:30		Jim Hamilton's World of Securities Regulation - AOL, Aruba Networks and SWS Group featured in Delaware valuation triple play
2018-02-23 11:30		Jim Hamilton's World of Securities Regulation - SEC extends compliance date for open-end fund liquidity classification
2018-02-22 13:00		Jim Hamilton's World of Securities Regulation - Updated cybersecurity guidance addresses policies and procedures, insider trading
2018-02-21 06:30		Jim Hamilton's World of Securities Regulation - Federated urges elimination of bucketing reqs in liquidity risk management rule
2018-02-20 08:00		Jim Hamilton's World of Securities Regulation - SEC's Jackson questions rationale for dual-class 'forever shares'
2018-02-19 14:30		Jim Hamilton's World of Securities Regulation - Iowa proposes BD merger exemption, IA business succession rule
2018-02-16 10:00		Jim Hamilton's World of Securities Regulation - Rescheduled TAC meeting worth waiting for
2018-02-15 09:00		Jim Hamilton's World of Securities Regulation - European risk board offers recommendations to mitigate investment fund systemic risks
2018-02-14 09:30		Jim Hamilton's World of Securities Regulation - Payton, Durant insider trading verdict upheld
2018-02-13 10:00		Jim Hamilton's World of Securities Regulation - Court denies settlement that secured 'utterly useless' disclosures
2018-02-12 08:00		Jim Hamilton's World of Securities Regulation - Appeals court says CLO managers are not 'securitizers' under Dodd-Frank
2018-02-09 11:00		Jim Hamilton's World of Securities Regulation - Investor concerns, compliance risks top OCIE 2018 exam priorities
2018-02-08 10:00		Jim Hamilton's World of Securities Regulation - NASAA to FINRA: Reforms will help, but expungement remains broken
2018-02-07 08:00		Jim Hamilton's World of Securities Regulation - SEC again extends exemptive relief for security-based swaps
2018-02-06 08:00		Jim Hamilton's World of Securities Regulation - SEC okays NYSE rule change to allow companies to list without completing an IPO
2018-02-05 12:00		Jim Hamilton's World of Securities Regulation - Giancarlo announces new paradigm for measuring swaps
2018-02-02 10:30		Jim Hamilton's World of Securities Regulation - Consensus and greater clarity regarding self-certification of new futures contracts apparent at MRAC meeting
2018-02-01 10:30		Jim Hamilton's World of Securities Regulation - Rulemaking petition seeks modernization of equity market data regime

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