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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/
Illinois Insurance Code did not bar Securities Department from investigating VA sales
31 Aug 2018, 5:55 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. [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/
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/
SEC accounting chief concerned over calls to delay new credit losses standard
5 May 2017, 7:51 am by John Jascob
By John 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/
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/
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/
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/
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/
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 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/
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/
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/
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/
NASAA proposes amending policy on small company offering registrations
7 Nov 2018, 6:55 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Fifth Circuit Begged the Question on FIRREA, SIFMA Argues
8 Sep 2015, 6:48 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Apple may not exclude proxy access proposal, SEC says
7 Nov 2016, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/