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CII objects to CorpFin’s 'too-complex-for-shareholders' exclusions
26 Jun 2019, 6:25 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/
Illinois Insurance Code did not bar Securities Department from investigating VA sales
31 Aug 2018, 5:55 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 backs FINRA proposal to further restrict high risk brokers
13 Jul 2018, 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/
Kokesh fails to save adviser from disgorging ill-gotten gains
24 Nov 2017, 6:30 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Interfaith Center, As You Sow seek to scuttle SEC proxy proposal amendments
18 Jun 2021, 7:44 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
ETFs showed resilience during COVID-19 crisis, ICI reports
26 Oct 2020, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Adviser’s fiduciary duty applies to annuity switches, NASAA contends
27 Oct 2017, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Life Settlement Promoters’ Pre-Sale Efforts Satisfied Howey, NASAA Argues
18 Dec 2014, 5:25 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/
NASAA Proposes Amendments to CorpFin Policies, Forms U-1 and U-2
6 Apr 2016, 8:34 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA asks DOL to put fiduciary rule on ice
9 Sep 2020, 8:34 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CII again criticizes IPOs with multi-class share structures
21 May 2018, 5:00 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/
Industry worries about incomplete Treasury trade reporting
19 Aug 2016, 8:17 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
FASB proposes delayed effective dates for private firms applying guidance on leases and revenue recognition
22 Apr 2020, 6:26 pm by John Jascob
By John M. Jascob, J.D., LL.M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Online platforms, fixed-income mark-ups top FINRA’s exam priorities
23 Jan 2019, 6:09 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/
Warren bill would require disclosure of climate-change exposure
21 Sep 2018, 7:32 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/
TICs are securities under North Carolina law, NASAA argues
18 Oct 2017, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Shareholders Have Right to Open McGraw-Hill’s Books to Investigate Ratings Violations
15 Sep 2014, 6:05 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/
Amnesty International Wants Cobalt Included in Conflict Minerals Disclosure
20 Jan 2016, 9:32 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC grants COVID-19 relief to small offering issuers, muni advisers, and new EDGAR filers
27 Mar 2020, 3:26 pm 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 backs FINRA proposal to incentivize payment of arb awards, offers improvements
18 Apr 2018, 7:53 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/