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NASAA Concerned Over Privacy Bills Requiring Warrants for Email Searches
6 Aug 2014, 11:29 am 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/
‘Turnaround Queen’ reverses course, withdraws latest suit against SEC
17 Oct 2016, 7:09 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
New C&DIs clarify application of COVID-19 order to late filing notices
31 Mar 2020, 4:22 pm by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Delaware appraisal petitions continue to fall, Cornerstone finds
18 Feb 2019, 5:00 am by John Jascob
By John 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. [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/
CII pokes Pinterest board about sunsetting dual-class share structure
27 Mar 2019, 5:05 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
New NASAA Working Group Aims to Improve BD Fee Disclosures
12 Sep 2014, 3:01 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/
Blue sky limitations statute discharges claims against Fisker’s controlling shareholder
23 Mar 2018, 7:41 am by John Jascob
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 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 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. [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/
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/
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/
CII again criticizes IPOs with multi-class share structures
21 May 2018, 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/
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. [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. [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/