Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for September, 2019

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2019-09-30 11:00		Jim Hamilton's World of Securities Regulation - Appellate court puts freeze on hearing requiring live testimony from CFTC commissioners
2019-09-27 10:30		Jim Hamilton's World of Securities Regulation - Associate Enforcement director highlights cyber activities, initiatives
2019-09-26 10:00		Jim Hamilton's World of Securities Regulation - High-frequency trader was 'insider' for purposes of short-swing trading
2019-09-25 12:00		Jim Hamilton's World of Securities Regulation - Software industry adds two more to 2019 IPO total
2019-09-24 09:30		Jim Hamilton's World of Securities Regulation - Debevoise & Plimpton's Byungkwon Lim answers 10 questions on blockchain law
2019-09-23 11:30		Jim Hamilton's World of Securities Regulation - Virginia adopts financial exploitation, cybersecurity, client privacy and mandatory arbitration rule amendments
2019-09-20 10:30		Jim Hamilton's World of Securities Regulation - House passes PCAOB whistleblower bill, government funding resolution
2019-09-19 08:30		Jim Hamilton's World of Securities Regulation - Trulia's impact lessens but is still being felt, Cornerstone finds
2019-09-18 12:30		Jim Hamilton's World of Securities Regulation - Clayton stresses importance of market price transparency, fostering small business growth
2019-09-17 11:30		Jim Hamilton's World of Securities Regulation - Controversial Volcker Rule amendments adopted prior to CFTC Sunshine Act meeting without public discussion
2019-09-16 10:30		Jim Hamilton's World of Securities Regulation - Panelists reflect on NASAA's role in taking on Prudential at annual conference
2019-09-13 10:00		Jim Hamilton's World of Securities Regulation - Financial planners join battle over SEC's Regulation BI
2019-09-12 10:00		Jim Hamilton's World of Securities Regulation - House subcommittee examines whether private offering exemptions are barrier to IPOs and retail investment
2019-09-11 09:00		Jim Hamilton's World of Securities Regulation - SEC proposes accountability requirements to speed CAT NMS Plan implementation
2019-09-10 10:30		Jim Hamilton's World of Securities Regulation - SEC advisory committee recommends 'proxy plumbing' changes
2019-09-09 12:30		Jim Hamilton's World of Securities Regulation - FASB proposes guidance to ease transition in benchmark reforms
2019-09-06 10:30		Jim Hamilton's World of Securities Regulation - IAA recommends tweaks to FINRA proposals to amend IPO rules
2019-09-05 11:30		Jim Hamilton's World of Securities Regulation - Hearing to determine CFTC's contempt in Kraft Foods matter continued until October
2019-09-04 10:00		Jim Hamilton's World of Securities Regulation - Kokesh casts no doubt on prior rulings on disgorgement in SEC enforcement proceedings
2019-09-03 11:00		Jim Hamilton's World of Securities Regulation - Public interest group contends Volcker Rule changes will endanger financial markets

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