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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/
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/
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/
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/
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/
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/
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/
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/
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/
Clayton, Giancarlo make case for bigger budgets
7 Jun 2018, 7:22 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Fifty-year losing streak continues for excessive fund fee claims
2 Aug 2021, 6:39 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/