Click a link below to view the mailing archive as if it had been sent to you. . 2020-02-28 10:00 Jim Hamilton's World of Securities Regulation - BakerHostetler attorneys examine SEC's and FTC's disgorgement powers as Liu Supreme Court argument nears. ...
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Jim Hamiltons World of Securities Regulation Archive for February, 2020

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

2020-02-28 10:00Jim Hamilton's World of Securities Regulation - BakerHostetler attorneys examine SEC's and FTC's disgorgement powers as Liu Supreme Court argument nears
2020-02-27 09:00Jim Hamilton's World of Securities Regulation - Claims against insurance company directors re: merger negotiations may proceed
2020-02-26 10:30Jim Hamilton's World of Securities Regulation - CII: SEC proxy advisor proposal aggravates already compressed proxy season
2020-02-25 10:00Jim Hamilton's World of Securities Regulation - Texas adopts cybersecurity incident procedures for dealers and investment advisers
2020-02-24 10:00Jim Hamilton's World of Securities Regulation - Wells Fargo to pay $3B to settle charges over fake accounts
2020-02-21 14:00Jim Hamilton's World of Securities Regulation - Comments highlight social, competitive effects of SEC proxy proposals
2020-02-20 12:00Jim Hamilton's World of Securities Regulation - CFTC defers to securities laws in Telegram matter
2020-02-19 16:30Jim Hamilton's World of Securities Regulation - Commission, academia mourn the passing of former Chairman David Ruder
2020-02-18 08:00Jim Hamilton's World of Securities Regulation - NASAA proposes continuing ed program for adviser representatives
2020-02-14 10:00Jim Hamilton's World of Securities Regulation - Deja vu all over again: CFTC and Kraft tell judge they have agreed to settle
2020-02-13 10:00Jim Hamilton's World of Securities Regulation - ESMA lays out strategy on ESG factors
2020-02-12 10:30Jim Hamilton's World of Securities Regulation - Hearing examines 'astroturfing' of agency comment letter process
2020-02-11 07:30Jim Hamilton's World of Securities Regulation - Minority stockholder may yet have wielded control
2020-02-10 11:00Jim Hamilton's World of Securities Regulation - High court receives another petition asking about disgorgement post-Kokesh
2020-02-06 10:30Jim Hamilton's World of Securities Regulation - CII voices concerns about SEC data on factual error frequency in proxy recommendations
2020-02-05 10:00Jim Hamilton's World of Securities Regulation - Main Street, gadflies, and corporate democracy: a first look at comments on the SEC's proxy proposal
2020-02-04 10:30Jim Hamilton's World of Securities Regulation - No refund for Panera after paying dissenters more than fair value
2020-02-03 12:30Jim Hamilton's World of Securities Regulation - CFTC proposed rule on position limits approved on a 3-2 vote along party lines

 

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