Click a link below to view the mailing archive as if it had been sent to you. . 2021-03-31 12:30 Jim Hamilton's World of Securities Regulation - Democrats seek CRA disapproval of SEC's shareholder proposal regulation. 2021-03-30 15:30 Jim Hamilton's ...
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Jim Hamiltons World of Securities Regulation Archive for March, 2021

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

2021-03-31 12:30Jim Hamilton's World of Securities Regulation - Democrats seek CRA disapproval of SEC's shareholder proposal regulation
2021-03-30 15:30Jim Hamilton's World of Securities Regulation - SEC staff highlight deficiencies in AML monitoring and reporting
2021-03-29 11:00Jim Hamilton's World of Securities Regulation - Cybersecurity company executives did not mislead in rosy statements
2021-03-26 11:00Jim Hamilton's World of Securities Regulation - SEC refuses to stay new market data infrastructure rule
2021-03-25 08:00Jim Hamilton's World of Securities Regulation - Judge denies convicted spoofers' bid for acquittal or new trial
2021-03-24 13:00Jim Hamilton's World of Securities Regulation - CII urges senators to sunset dual-class stock provisions, require diversity disclosure
2021-03-23 09:30Jim Hamilton's World of Securities Regulation - Controversy looms as Coinbase agrees to pay CFTC $6.5 million to settle charges for misdeeds in the cash cryptocurrency markets
2021-03-22 10:30Jim Hamilton's World of Securities Regulation - Loudermilk bill would limit SEC ability to get PII from exchanges
2021-03-19 13:00Jim Hamilton's World of Securities Regulation - Peirce calls for clarity in crypto regulation, highlights crypto's potential in protecting individuals from danger
2021-03-18 11:30Jim Hamilton's World of Securities Regulation - Game Stopped, Part II: House hearing explores best execution, short sales, and gamification in wake of GameStop surge
2021-03-16 12:00Jim Hamilton's World of Securities Regulation - Acting Chair Lee's latest ESG initiative seeks public input on climate risk disclosure
2021-03-12 11:00Jim Hamilton's World of Securities Regulation - CFTC's Global Market Advisory Committee explores increased retail participation in derivatives markets
2021-03-11 09:30Jim Hamilton's World of Securities Regulation - Crenshaw decries 'myopic' approach to penalty assessments
2021-03-10 11:00Jim Hamilton's World of Securities Regulation - IAA hosts conversation with SEC's asset management enforcement leaders
2021-03-09 09:30Jim Hamilton's World of Securities Regulation - Lack of domestic transaction sinks fraud claims against Brazilian company
2021-03-08 09:00Jim Hamilton's World of Securities Regulation - SEC examinations chief outlines new Division's priorities, including ESG, Form CRS compliance
2021-03-05 11:30Jim Hamilton's World of Securities Regulation - Sixteen state AG's back affirming Second Circuit in Goldman Sachs case
2021-03-04 08:00Jim Hamilton's World of Securities Regulation - Columbia Pipeline stockholders may proceed with action challenging TransCanada merger
2021-03-03 08:00Jim Hamilton's World of Securities Regulation - Appellate panel affirms CFTC disgorgement calculation despite limits imposed by recent Supreme Court decision in Liu
2021-03-02 10:00Jim Hamilton's World of Securities Regulation - Division of Examinations issues guidance on digital asset securities
2021-03-01 10:00Jim Hamilton's World of Securities Regulation - House members quarrel over mandating ESG disclosure

 

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