Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for July, 2019

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2019-07-31 10:30		Jim Hamilton's World of Securities Regulation - NASAA applauds Massachusetts's preliminary fiduciary duty rule proposal
2019-07-30 13:30		Jim Hamilton's World of Securities Regulation - SEC greenlights blockchain-based gaming tokens
2019-07-29 09:30		Jim Hamilton's World of Securities Regulation - Nebraska proposes adoption of NASAA policy statements, cyber requirements for advisers
2019-07-26 11:00		Jim Hamilton's World of Securities Regulation - SEC advisory committee hears views on improving competition
2019-07-25 10:30		Jim Hamilton's World of Securities Regulation - Industry groups urge SEC to harmonize with CFTC on security-based swaps
2019-07-24 13:30		Jim Hamilton's World of Securities Regulation - OCIE Risk Alert highlights issues related to previously-disciplined employees
2019-07-23 10:30		Jim Hamilton's World of Securities Regulation - Kansas Supreme Court limits the extraterritorial application of state's Blue Sky law
2019-07-22 10:00		Jim Hamilton's World of Securities Regulation - CFTC provides guidance and no-action relief for FCM margin practices
2019-07-19 08:00		Jim Hamilton's World of Securities Regulation - Industry leaders, academics weigh in on Facebook's Libra crypto plans
2019-07-18 11:00		Jim Hamilton's World of Securities Regulation - DLA Piper attorneys warn of insider trading risks
2019-07-17 11:00		Jim Hamilton's World of Securities Regulation - Clayton, Hinman agree proxy process is due for overhaul
2019-07-16 09:30		Jim Hamilton's World of Securities Regulation - Former NFA CEO expounds on self-regulation in the futures and derivatives markets and where the pendulum may swing next
2019-07-15 10:30		Jim Hamilton's World of Securities Regulation - YouNow token offering qualified; are Reg. A floodgates opening?
2019-07-12 11:30		Jim Hamilton's World of Securities Regulation - CFTC commissioners clash over DCO registration proposal, but alternative compliance proposal gets unanimous nod
2019-07-11 09:00		Jim Hamilton's World of Securities Regulation - House passes Dodd-Frank whistleblower fix along with small package of securities bills
2019-07-10 08:30		Jim Hamilton's World of Securities Regulation - Commission will consider offers of settlement and waiver requests as a single recommendation
2019-07-09 07:00		Jim Hamilton's World of Securities Regulation - SEC approves proposed amendments to lower margins for security futures from 20 to 15 percent
2019-07-08 11:00		Jim Hamilton's World of Securities Regulation - Brexit threatens to cause disruptions for clearinghouse supervision, industry warns
2019-07-05 11:00		Jim Hamilton's World of Securities Regulation - Value, values, or both? PLI panelists discuss ESG matters
2019-07-03 06:30		Jim Hamilton's World of Securities Regulation - 'Lady on Board' signaling may send mixed message, says SEC's Peirce
2019-07-02 08:30		Jim Hamilton's World of Securities Regulation - Cyber-attackers focusing on financial service firms as their top target: that's where the money is
2019-07-01 08:00		Jim Hamilton's World of Securities Regulation - Michigan sets forth new securities rules

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