Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for July, 2018

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2018-07-31 13:30		Jim Hamilton's World of Securities Regulation - Commissioner Peirce grapples with the meaning of 'fiduciary' versus '“best interest,' and the implication for investors
2018-07-30 10:00		Jim Hamilton's World of Securities Regulation - Cybersecurity remains advisers' top concern, compliance survey finds
2018-07-27 12:30		Jim Hamilton's World of Securities Regulation - Giancarlo updates House oversight committee on clearinghouse, cryptocurrency issues
2018-07-26 10:30		Jim Hamilton's World of Securities Regulation - Public Citizen Report: Trump is soft on corporate crime and wrongdoing
2018-07-25 11:00		Jim Hamilton's World of Securities Regulation - CFTC proposes update to rule governing security futures position limits
2018-07-24 11:30		Jim Hamilton's World of Securities Regulation - SEC okays FINRA's proposed new option for simplified arbitration
2018-07-23 14:00		Jim Hamilton's World of Securities Regulation - Commission extends post-Lucia stay 30 more days
2018-07-20 09:00		Jim Hamilton's World of Securities Regulation - FIMSAC subcommittee recommends formation of working group to address e-trading in fixed income markets
2018-07-19 10:30		Jim Hamilton's World of Securities Regulation - CFTC's authority over cryptocurrency fraud reaffirmed
2018-07-18 15:30		Jim Hamilton's World of Securities Regulation - CFTC joins regulatory chorus in warning investors about the hazards of digital tokens
2018-07-18 11:00		Jim Hamilton's World of Securities Regulation - For first time since early April, no deals get done in week
2018-07-17 12:30		Jim Hamilton's World of Securities Regulation - Redstones denied access to CBS attorney communications
2018-07-16 12:30		Jim Hamilton's World of Securities Regulation - Demise of LIBOR benchmark takes center stage at MRAC meeting
2018-07-13 10:30		Jim Hamilton's World of Securities Regulation - 2 new articles
2018-07-12 12:00		Jim Hamilton's World of Securities Regulation - The future of tokenized securities explored at CoinDesk webinar
2018-07-11 11:30		Jim Hamilton's World of Securities Regulation - Firms weigh in on SEC's proposed amendments to auditor independence loan provision
2018-07-10 08:00		Jim Hamilton's World of Securities Regulation - Coalition of state treasurers opposes forced arbitration in shareholder agreements
2018-07-09 11:00		Jim Hamilton's World of Securities Regulation - SEC Investor Advocate's objectives 2019 include broker-dealer standards of conduct, Kokesh concerns
2018-07-06 11:00		Jim Hamilton's World of Securities Regulation - Credit Suisse to pay $30 million for Asia-Pacific region FCPA violations
2018-07-05 14:00		Jim Hamilton's World of Securities Regulation - Fraudster's promises to basketball star were clearly out of bounds
2018-07-03 09:00		Jim Hamilton's World of Securities Regulation - Sullivan & Cromwell partners see uptick in spoofing enforcement, emphasis on surveillance and cooperation
2018-07-02 09:00		Jim Hamilton's World of Securities Regulation - CFTC releases report on sharp price movements in the commodity futures markets

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