Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for December, 2019

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2019-12-31 11:30		Jim Hamilton's World of Securities Regulation - SEC plans update to auditor independence rules; Clayton and others issue audit committee reminders
2019-12-30 10:30		Jim Hamilton's World of Securities Regulation - CFTC awards whistleblower more than $1 million despite potential hurdles
2019-12-27 15:30		Jim Hamilton's World of Securities Regulation - Court tries to resolve long-running 'securities' misnomer under state precedents
2019-12-26 10:30		Jim Hamilton's World of Securities Regulation - CorpFin issues guidance on technology risks associated with international business operations
2019-12-24 11:00		Jim Hamilton's World of Securities Regulation - CorpFin issues guidance on confidential treatment applications
2019-12-23 08:30		Jim Hamilton's World of Securities Regulation - Kirkland & Ellis partner examines the uncertain future of M&A litigation
2019-12-20 08:00		Jim Hamilton's World of Securities Regulation - PCAOB offers revised approach to quality control standards
2019-12-19 09:30		Jim Hamilton's World of Securities Regulation - Merits briefing begins in Lui case challenging SEC disgorgement power
2019-12-18 10:30		Jim Hamilton's World of Securities Regulation - Texas proposes cybersecurity incident notification procedures for dealers/investment advisers
2019-12-17 08:00		Jim Hamilton's World of Securities Regulation - DOJ and CFTC seek a complete stay in civil action against metals traders charged with spoofing
2019-12-16 11:00		Jim Hamilton's World of Securities Regulation - SEC chairman, chief accountant emphasize role of audit committees at AICPA conference keynote
2019-12-13 12:00		Jim Hamilton's World of Securities Regulation - Baker Donelson attorneys examine how Mylan settlement illustrates disclosure obligation risks
2019-12-12 10:30		Jim Hamilton's World of Securities Regulation - Conspiracy chicken must come before fraud egg in price-fixing case
2019-12-11 09:30		Jim Hamilton's World of Securities Regulation - Former SEC officials offer insights into FY2019 enforcement program
2019-12-10 10:00		Jim Hamilton's World of Securities Regulation - Discovery battle between CFTC and Chicagoland software developer heats
2019-12-09 11:00		Jim Hamilton's World of Securities Regulation - SEC's Small Business Forum report includes 14 recommendations for securities policy
2019-12-06 12:00		Jim Hamilton's World of Securities Regulation - House passes potentially historic bill that would codify law of insider trading
2019-12-05 11:00		Jim Hamilton's World of Securities Regulation - PCAOB chair discusses efforts to better the quality of audit services
2019-12-04 08:00		Jim Hamilton's World of Securities Regulation - Through November, IPOs still down eight percent from 2018
2019-12-03 10:30		Jim Hamilton's World of Securities Regulation - CFTC amends Part 4 rules notwithstanding Commissioner Berkovitz's dissent regarding registration exemption for family offices
2019-12-02 10:30		Jim Hamilton's World of Securities Regulation - Climate change threatens financial stability: Center for American Progress

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