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Experts express skepticism over proposals for deregulation
15 May 2017, 7:27 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Questions Value, Viability of Venture Exchanges
13 Mar 2015, 11:33 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/
NASAA Seeks to Close Gaps in M&A Broker Proposals
26 Jan 2016, 5:00 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/
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/
NASAA to FINRA: Reforms will help, but expungement remains broken
8 Feb 2018, 6:57 am by John Jascob
By John 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/
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/
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/
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/
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/
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/
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/
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/
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/
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/