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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 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/
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 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/
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/
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/
Dangling digital gummy bears: Gensler considers behavior nudges and investor temptations
19 May 2022, 6:36 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC requests information on digital engagement practices
30 Aug 2021, 4:59 pm by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
'Night market' trading of Korean index futures falls under Morrison's shadow
30 Mar 2018, 7:27 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/