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Promissory notes with repayment option were not securities
21 Feb 2017, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
OTC Markets petitions to expand Reg A+ access to reporting companies
9 Jun 2016, 8:09 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
In light of Bandimere, SEC stays proceedings subject to Tenth Circuit review
24 May 2017, 7:47 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Experts express skepticism over proposals for deregulation
15 May 2017, 7:27 am by John Jascob
By John M. Jascob, J.D., LL.M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Proposes Model Rule on IA Business Continuity
4 Aug 2014, 12:45 pm by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Theranos shareholders’ blue sky claims partially pass the test
21 Apr 2017, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA to FINRA: Reforms will help, but expungement remains broken
8 Feb 2018, 6:57 am by John Jascob
By John M. Jascob, J.D., LL.M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Proposes Model M&A Broker Exemption
16 Jan 2015, 12:38 pm by John Jascob
[This story previously appeared in Securities Regulation Daily.]By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC accounting chief concerned over calls to delay new credit losses standard
5 May 2017, 7:51 am by John Jascob
By John M. Jascob, J.D., LL.M.SEC Chief Accountant Wesley R. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Blockchain caucus leaders ask SEC to address BD custody of digital assets
11 Dec 2020, 7:29 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Cyber practices continue to concern state securities regulators
27 Apr 2020, 6:39 pm by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA opposes expanding ‘accredited investor’ definition absent additional investor protections
18 Mar 2020, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Nebraska proposes adoption of NASAA policy statements, cyber requirements for advisers
29 Jul 2019, 6:07 am by John Jascob
By John M. Jascob, J.D., LL.M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CII pokes Pinterest board about sunsetting dual-class share structure
27 Mar 2019, 5:05 am by John Jascob
By John M. Jascob, J.D., LL.M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
ICOs, senior fraud drive increase in state actions against unregistered persons
11 Oct 2018, 7:07 am by John Jascob
By John M. Jascob, J.D., LL.M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Blue sky limitations statute discharges claims against Fisker’s controlling shareholder
23 Mar 2018, 7:41 am by John Jascob
By John M. Jascob, J.D., LL.M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA report scrutinizes senior practices and procedures
19 Jun 2017, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Backs Extending Fiduciary Duty to IRAs
31 Jul 2015, 9:02 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA defends extraterritorial application of Kansas Blue Sky law
2 Dec 2016, 11:21 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA adopts model restitution assistance statute
20 May 2021, 8:18 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/