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Jim Hamiltons World of Securities Regulation Archive for September, 2018

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2018-09-28 09:30Jim Hamilton's World of Securities Regulation - First SEC enforcement charging violations of the Identity Theft Red Flags Rule
2018-09-27 14:00Jim Hamilton's World of Securities Regulation - More companies disclose climate change risks, but leave out financial impact, FSB task force finds
2018-09-26 11:00Jim Hamilton's World of Securities Regulation - State administrators float draft cyber rules update ahead of annual meeting
2018-09-25 11:00Jim Hamilton's World of Securities Regulation - Panelists mull HFT, market resiliency in SEC-NYU dialogue
2018-09-24 10:30Jim Hamilton's World of Securities Regulation - SEC proposes to clarify reporting exemption for single-issuer broker-dealers
2018-09-21 11:00Jim Hamilton's World of Securities Regulation - Warren bill would require disclosure of climate-change exposure
2018-09-20 10:30Jim Hamilton's World of Securities Regulation - NY AG finds pervasive vulnerabilities in virtual currency exchanges
2018-09-19 10:30Jim Hamilton's World of Securities Regulation - Commissioner Peirce urges 'humility' in response regulatory response to cryptocurrency
2018-09-18 10:00Jim Hamilton's World of Securities Regulation - SEC advisory committee members endorse universal proxy, encourage blockchain in corporate elections
2018-09-17 10:00Jim Hamilton's World of Securities Regulation - Lawmakers urge SEC to retool Reg BI
2018-09-14 11:00Jim Hamilton's World of Securities Regulation - IM division rescinds relief for advisers relying on proxy advisory firms
2018-09-13 10:30Jim Hamilton's World of Securities Regulation - Chamber of Commerce group supports PCAOB strategic plan, recommends enhancements
2018-09-12 10:30Jim Hamilton's World of Securities Regulation - SEC tick size pilot to expire without fanfare
2018-09-11 10:30Jim Hamilton's World of Securities Regulation - Tracking ETPs suspended over worries about market confusion
2018-09-10 14:00Jim Hamilton's World of Securities Regulation - Giancarlo again implores EU counterparts to embrace supervisory deference in cross border relations
2018-09-07 12:30Jim Hamilton's World of Securities Regulation - Purchasers cannot attach securities fraud to deed transferors
2018-09-06 10:30Jim Hamilton's World of Securities Regulation - Roisman confirmed as commissioner; Democratic contingent balks at confirmation process, role in reform rollbacks
2018-09-05 13:30Jim Hamilton's World of Securities Regulation - Respondents denied recovery of legal fees in first post-Lucia ALJ decision
2018-09-04 11:00Jim Hamilton's World of Securities Regulation - IASB chairman extols Japanese approach to IFRS adoption

 

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