Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for May, 2022

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2022-05-31 10:00		Jim Hamilton's World of Securities Regulation - 'With admitted trepidation,' court allows claim that defendants breached fiduciary duties
2022-05-27 12:30		Jim Hamilton's World of Securities Regulation - House Democrats urge SEC to require disclosure of DEI employment data in future rulemaking
2022-05-26 05:30		Jim Hamilton's World of Securities Regulation - SEC proposes to sharpen rule preventing misleading fund names
2022-05-25 09:30		Jim Hamilton's World of Securities Regulation - SEC market data rule survives challenge from exchanges
2022-05-24 08:00		Jim Hamilton's World of Securities Regulation - SEC fines BNY Mellon adviser $1.5 million for misleading on ESG analysis
2022-05-23 09:30		Jim Hamilton's World of Securities Regulation - Adviser must pay $1.8M to settle breach of fiduciary duty charges
2022-05-20 09:30		Jim Hamilton's World of Securities Regulation - Chair Gensler makes case for SEC's first $2 billion plus appropriation
2022-05-19 10:00		Jim Hamilton's World of Securities Regulation - Dangling digital gummy bears: Gensler considers behavior nudges and investor temptations
2022-05-18 08:00		Jim Hamilton's World of Securities Regulation - IOSCO report says fair access to market data should be concern for world's regulators
2022-05-17 08:00		Jim Hamilton's World of Securities Regulation - Warren, Porter seek answers about corporate business dealings in secondary markets to avoid sanctions
2022-05-16 09:30		Jim Hamilton's World of Securities Regulation - Director Grewal cautions defense bar on delaying tactics
2022-05-13 09:30		Jim Hamilton's World of Securities Regulation - House once again passes M&A broker bill, also seeks to protect seniors
2022-05-12 08:30		Jim Hamilton's World of Securities Regulation - Gensler declares new 'new era' in security-based swap market
2022-05-11 08:30		Jim Hamilton's World of Securities Regulation - Law firm financial pros explore targets and priorities on the road to increased profitability at industry summit
2022-05-10 11:30		Jim Hamilton's World of Securities Regulation - Company executives address SEC Small Business Advisory Committee on climate
2022-05-09 12:30		Jim Hamilton's World of Securities Regulation - FINRA fines Wefunder and StartEngine portals for crowdfunding violations
2022-05-06 12:30		Jim Hamilton's World of Securities Regulation - PCAOB updates standard-setting and research agendas
2022-05-05 09:30		Jim Hamilton's World of Securities Regulation - Russian invasion disclosure should consider cyber, supply chain issues, staff says
2022-05-05 09:00		Jim Hamilton's World of Securities Regulation - Russian invasion disclosure should consider cyber, supply chain issues, staff says
2022-05-04 11:00		Jim Hamilton's World of Securities Regulation - SEC report shows progress on DEI, but small sample size
2022-05-03 09:30		Jim Hamilton's World of Securities Regulation - FINRA sees continued decline in number of registered firms and representatives
2022-05-02 10:00		Jim Hamilton's World of Securities Regulation - SEC's Investor Advocate pushes NYSE, Nasdaq for tougher SPAC listing standards

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