Search for: "John Jascob" Results 21 - 40 of 101
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
Former Fannie Mae Execs Escape With Mild Spanking
23 Sep 2015, 3:28 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
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/
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/
‘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/
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/
NASAA backs FINRA proposal to further restrict high risk brokers
13 Jul 2018, 7:27 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/
Online platforms, fixed-income mark-ups top FINRA’s exam priorities
23 Jan 2019, 6:09 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 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/
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 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/
CII objects to CorpFin’s 'too-complex-for-shareholders' exclusions
26 Jun 2019, 6:25 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. [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/
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/
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/
Nebraska proposes adoption of NASAA policy statements, cyber requirements for advisers
29 Jul 2019, 6:07 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/
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/