Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for May, 2019

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2019-05-31 11:30		Jim Hamilton's World of Securities Regulation - Commissioner Peirce shares thoughts on 25 years of ETFs
2019-05-30 13:00		Jim Hamilton's World of Securities Regulation - OCIE finds deficiencies in data-storage practices of brokers and advisers
2019-05-29 13:30		Jim Hamilton's World of Securities Regulation - Petition asks Supreme Court to clarify breadth of "in connection with" requirement
2019-05-28 13:00		Jim Hamilton's World of Securities Regulation - PCAOB issues guidance on CAMs communications as compliance date nears
2019-05-24 23:30		Jim Hamilton's World of Securities Regulation - SEC Commissioner Peirce advocates for periodically revisiting agency rules in remarks before accounting academics
2019-05-23 10:00		Jim Hamilton's World of Securities Regulation - NASAA adopts investment adviser information security model rule package
2019-05-22 08:00		Jim Hamilton's World of Securities Regulation - Chamber of Commerce criticizes recent state fiduciary proposals, urges SEC to declare federal preemption
2019-05-21 13:30		Jim Hamilton's World of Securities Regulation - Class action alleges Lyft misled investors in IPO
2019-05-20 08:00		Jim Hamilton's World of Securities Regulation - CFTC Chairman Giancarlo lets his hair down in first installment of FIA Speaks podcast
2019-05-17 11:00		Jim Hamilton's World of Securities Regulation - OCIE head highlights key compliance considerations, potential internal controls enhancements
2019-05-16 10:30		Jim Hamilton's World of Securities Regulation - Government enforcement officials highlight priorities, recent developments at PLI conference
2019-05-15 10:30		Jim Hamilton's World of Securities Regulation - SEC proposes amendments, guidance for cross-border security-based swaps
2019-05-14 08:00		Jim Hamilton's World of Securities Regulation - AmEx had no duty to update investors about contract negotiations
2019-05-13 11:00		Jim Hamilton's World of Securities Regulation - SEC kicks off Small Business Week with roundtable examining geographical challenges to raising capital
2019-05-10 11:00		Jim Hamilton's World of Securities Regulation - Antitrust chief discusses antitrust issues related to financial sector at Fordham conference
2019-05-09 11:30		Jim Hamilton's World of Securities Regulation - SEC and PCAOB actions against accountants dropped significantly in 2018
2019-05-08 15:00		Jim Hamilton's World of Securities Regulation - Witnesses make the business case for diversity at congressional hearing
2019-05-07 10:30		Jim Hamilton's World of Securities Regulation - CFTC chairman asks FRB to issue guidance on implementation of impending Phase Five margin requirements
2019-05-06 09:30		Jim Hamilton's World of Securities Regulation - SEC proposes to amend Reg S-X disclosures on acquisitions and disposition of businesses
2019-05-03 19:30		Jim Hamilton's World of Securities Regulation - Chief Accountant Bricker discusses past and future of financial reporting
2019-05-02 10:00		Jim Hamilton's World of Securities Regulation - MFA recommends expansion of 'fund of funds' proposal to include private funds
2019-05-01 09:30		Jim Hamilton's World of Securities Regulation - House passes bill to create senior investor taskforce at SEC

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