Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for May, 2018

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2018-05-31 10:30		Jim Hamilton's World of Securities Regulation - Trade and public interest groups clash with exchanges over proposed NMS fee pilot
2018-05-30 11:00		Jim Hamilton's World of Securities Regulation - Alabama Securities Commission issues five cease and desist orders as part of Operation Cryptosweep crackdown
2018-05-29 09:00		Jim Hamilton's World of Securities Regulation - Live Nation shareholder sues to block vote on board members due to misleading proxy statement
2018-05-25 09:30		Jim Hamilton's World of Securities Regulation - 'Gamesmanship' one reason court won't revive interest-rate-swaps antitrust claims
2018-05-24 11:00		Jim Hamilton's World of Securities Regulation - Chairman Clayton reflects on recent SEC developments at FINRA conference
2018-05-23 10:00		Jim Hamilton's World of Securities Regulation - CFTC staff advises exchanges, clearinghouses dealing in virtual currency products
2018-05-22 11:30		Jim Hamilton's World of Securities Regulation - Coordination, innovation key in blockchain regulation, say NASAA FinTech panelists
2018-05-21 08:00		Jim Hamilton's World of Securities Regulation - CII again criticizes IPOs with multi-class share structures
2018-05-18 09:30		Jim Hamilton's World of Securities Regulation - CBS not entitled to halt controlling shareholder's efforts to force Viacom merger
2018-05-17 10:00		Jim Hamilton's World of Securities Regulation - Peikin highlights Enforcement focus on cyber issues, individual liability
2018-05-16 11:00		Jim Hamilton's World of Securities Regulation - AXA Equitable's $2.7B offering is year's largest IPO
2018-05-15 10:00		Jim Hamilton's World of Securities Regulation - Cybersecurity, retail investor protection are hot topics at PLI's enforcement conference
2018-05-14 10:00		Jim Hamilton's World of Securities Regulation - Deputy Attorney General Rod Rosenstein announces new DOJ white collar crime policy
2018-05-11 09:30		Jim Hamilton's World of Securities Regulation - Improving Wells meetings was the topic in keynote address
2018-05-10 10:30		Jim Hamilton's World of Securities Regulation - Commissioner Quintenz warns “grim” budget situation threatens CFTC functioning, may cause staff cuts
2018-05-09 08:00		Jim Hamilton's World of Securities Regulation - SEC correctly found no jurisdiction over market makers' improper fee petition
2018-05-08 07:00		Jim Hamilton's World of Securities Regulation - CFTC's Giancarlo talks swaps with German banks in Berlin
2018-05-07 08:00		Jim Hamilton's World of Securities Regulation - SEC chief accountant urges audit firms to continually evaluate, improve governance and culture
2018-05-04 11:30		Jim Hamilton's World of Securities Regulation - SEC proposes auditor independence rule covering lending relationships with clients
2018-05-03 08:00		Jim Hamilton's World of Securities Regulation - Arguments about gold vein refrain mainly remain in vain
2018-05-02 08:00		Jim Hamilton's World of Securities Regulation - FINRA proposal would further curb high-risk brokers
2018-05-01 23:00		Jim Hamilton's World of Securities Regulation - High court will not consider burden of persuasion when invoking fraud-on-the-market

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