Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for November, 2018

Click a link below to view the mailing archive as if it had been sent to you.

2018-11-30 10:30		Jim Hamilton's World of Securities Regulation - PCAOB advisory group members advocate greater communication between Board and stakeholders
2018-11-29 11:00		Jim Hamilton's World of Securities Regulation - FSB says G20 regulatory reforms are in place, calls for more rigorous implementation
2018-11-28 10:30		Jim Hamilton's World of Securities Regulation - Nebraska amends BD agent exam requirement and crowdfunding exemption
2018-11-27 08:00		Jim Hamilton's World of Securities Regulation - NFA Annual Review summarizes past year highlights and looks forward to coming attractions
2018-11-26 08:00		Jim Hamilton's World of Securities Regulation - Roundtable panelists offer contrasting views on the use of shareholder proposals to improve engagement
2018-11-21 10:00		Jim Hamilton's World of Securities Regulation - KISS leads to a final uncleared swap margin rule
2018-11-20 10:30		Jim Hamilton's World of Securities Regulation - Proxy voting mechanics and technology examined at SEC roundtable
2018-11-19 10:30		Jim Hamilton's World of Securities Regulation - Cyber, Brexit are among SEC disclosure review priorities in coming filings season
2018-11-16 08:00		Jim Hamilton's World of Securities Regulation - SEC enforcement co-directors discuss approach to crypto assets, impact of Supreme Court decisions
2018-11-15 11:00		Jim Hamilton's World of Securities Regulation - Sentences upheld in double jeopardy dispute
2018-11-14 11:00		Jim Hamilton's World of Securities Regulation - CorpFin director expects digital asset guidance to be ready by early 2019
2018-11-13 11:00		Jim Hamilton's World of Securities Regulation - IM Director Blass praises 'symphony of participants,' vibrancy of financial markets
2018-11-12 10:30		Jim Hamilton's World of Securities Regulation - OCIE announces risk-based exam initiatives focused on funds and advisers
2018-11-09 10:30		Jim Hamilton's World of Securities Regulation - IAC approves recommendation to clarify Reg. BI
2018-11-08 10:30		Jim Hamilton's World of Securities Regulation - Updated C&DIs conform to new definition of 'smaller reporting company'
2018-11-07 10:00		Jim Hamilton's World of Securities Regulation - NASAA proposes amending policy on small company offering registrations
2018-11-06 11:00		Jim Hamilton's World of Securities Regulation - CFTC approves final swap dealer de minimis threshold level; disagreement prevails over proposed SEF and trade execution rules
2018-11-05 10:30		Jim Hamilton's World of Securities Regulation - Lorenzo case to test boundaries of scheme liability
2018-11-02 11:00		Jim Hamilton's World of Securities Regulation - Commissioner Behnam proposes “test track” to vet FinTech innovations
2018-11-01 10:30		Jim Hamilton's World of Securities Regulation - Review of new IFRS standards in 2018 financials will be priority for European enforcement officials

<< Archive Index • Subscribe >>

• Email to a friend •