Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for August, 2018

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2018-08-31 09:00		Jim Hamilton's World of Securities Regulation - Illinois Insurance Code did not bar Securities Department from investigating VA sales
2018-08-30 08:00		Jim Hamilton's World of Securities Regulation - Diverse blockchain community converges on Chicago's Navy Pier to explore the digital ledger's many challenges and vast potential
2018-08-29 11:30		Jim Hamilton's World of Securities Regulation - NASAA's requests for SEC: Rename Reg BI, table Form CRS
2018-08-28 14:30		Jim Hamilton's World of Securities Regulation - PCAOB report: Fewer independence violations, but audit deficiencies remain high in broker-dealer audits
2018-08-27 10:30		Jim Hamilton's World of Securities Regulation - Fannie/Freddie shareholders running out of circuit courts
2018-08-24 09:00		Jim Hamilton's World of Securities Regulation - Bankruptcy trustee loses Kokesh-based challenge to settlement
2018-08-23 10:30		Jim Hamilton's World of Securities Regulation - Sen. Warren's anti-corruption bill would restore ALJs to competitive service, codify Chevron, curb lawmakers' and lobbyists' activities
2018-08-22 10:30		Jim Hamilton's World of Securities Regulation - Rhode Island readopts existing rules with substantive exceptions
2018-08-21 10:00		Jim Hamilton's World of Securities Regulation - Wolters Kluwer expert to speak at Voice of Blockchain conference
2018-08-20 08:00		Jim Hamilton's World of Securities Regulation - Commission says CBOE must seek approval to use deferential appeals standard
2018-08-17 11:00		Jim Hamilton's World of Securities Regulation - No requirement to separately analyze adviser's sub-administrator fees
2018-08-16 11:00		Jim Hamilton's World of Securities Regulation - Industry groups support CFTC proposal on swap dealer registration; watchdog calls it 'Swiss cheese'
2018-08-15 10:30		Jim Hamilton's World of Securities Regulation - ICI, SIFMA offer recommendations on proposed Reg BI
2018-08-14 12:30		Jim Hamilton's World of Securities Regulation - SEC posts small entity compliance guide on scaled disclosure changes
2018-08-13 08:00		Jim Hamilton's World of Securities Regulation - Blockchain and the legal profession featured at Chicago-Kent law school conference
2018-08-10 10:30		Jim Hamilton's World of Securities Regulation - HM Treasury details financial services legislation approach to Brexit
2018-08-09 11:30		Jim Hamilton's World of Securities Regulation - Supreme Court asked to address proximate cause standard in securities cases
2018-08-08 08:00		Jim Hamilton's World of Securities Regulation - IAA expresses concerns about SEC's proposed standards for financial professionals
2018-08-07 14:00		Jim Hamilton's World of Securities Regulation - Securities Regulation Daily's top 10 developments for July 2018
2018-08-07 12:30		Jim Hamilton's World of Securities Regulation - Securities Regulation Daily's top 10 developments for July 2018
2018-08-06 11:30		Jim Hamilton's World of Securities Regulation - Deal price, less synergies, best evidence of share value in fair merger process
2018-08-03 09:00		Jim Hamilton's World of Securities Regulation - Staff addresses soliciting materials in update to C&DIs on proxy rules and Schedules 14A and 14C
2018-08-02 13:30		Jim Hamilton's World of Securities Regulation - Senate joins House in passage of defense bill with CFIUS reforms
2018-08-01 10:30		Jim Hamilton's World of Securities Regulation - SEC requests comments on proxy rule revision

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