Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for October, 2020

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2020-10-30 12:00		Jim Hamilton's World of Securities Regulation - SEC proposes exemption for portfolio margining of swaps and security-based swaps
2020-10-29 11:30		Jim Hamilton's World of Securities Regulation - SEC officials mull new regulations affecting complex investment products
2020-10-28 09:00		Jim Hamilton's World of Securities Regulation - CFTC Chairman Tarbert issues directive to agency personnel constraining use of staff letters and guidance
2020-10-27 08:00		Jim Hamilton's World of Securities Regulation - SEC gives broker-dealers violating the customer protection rule six months to come into compliance
2020-10-26 08:00		Jim Hamilton's World of Securities Regulation - ETFs showed resilience during COVID-19 crisis, ICI reports
2020-10-23 13:00		Jim Hamilton's World of Securities Regulation - SEC, CFTC hope to revive 'dead' security futures market with new margin rule
2020-10-22 10:30		Jim Hamilton's World of Securities Regulation - Kik agrees to $5M penalty for unregistered ICO
2020-10-21 08:00		Jim Hamilton's World of Securities Regulation - CFTC's EEMAC takes a close look at ESG initiatives in the energy industry
2020-10-20 09:30		Jim Hamilton's World of Securities Regulation - Warren urges SEC, CFTC to scrutinize Trump advisors' private gloomy COVID outlook ahead of trades
2020-10-19 09:00		Jim Hamilton's World of Securities Regulation - CFTC passes final position limit rule under a cloud of partisan controversy
2020-10-16 07:30		Jim Hamilton's World of Securities Regulation - SEC Commissioner Crenshaw, Director Blass discuss diversity, Commission goals at SEC Speaks
2020-10-15 09:30		Jim Hamilton's World of Securities Regulation - PCAOB's Brown says Board's agenda disregards investor concerns
2020-10-14 10:30		Jim Hamilton's World of Securities Regulation - Commissioner Lee extols virtues of public offerings as SEC emphasizes expansion of private markets
2020-10-13 09:30		Jim Hamilton's World of Securities Regulation - SEC staff updates Form CRS FAQs
2020-10-12 11:00		Jim Hamilton's World of Securities Regulation - PCAOB's Brown outlines steps Board can take to improve the protection of broker-dealer customers
2020-10-09 11:00		Jim Hamilton's World of Securities Regulation - SEC seeks comments on SROs' market data plan
2020-10-08 10:30		Jim Hamilton's World of Securities Regulation - Commission proposes conditional exemption from broker registration for finders
2020-10-07 12:30		Jim Hamilton's World of Securities Regulation - Legislators introduce bills to address confusion regarding governance of digital assets
2020-10-06 12:30		Jim Hamilton's World of Securities Regulation - The Supreme Court returns as coronavirus remains a concern and confirmation hearings await
2020-10-05 13:30		Jim Hamilton's World of Securities Regulation - Commissioner Roisman ponders whether the SEC's ATS proposal goes far enough
2020-10-02 14:30		Jim Hamilton's World of Securities Regulation - California governor signs additional board diversity bill
2020-10-01 15:30		Jim Hamilton's World of Securities Regulation - 2 new articles

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