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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/
TD Ameritrade overturns class certification in best execution fraud suit
27 Apr 2021, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
El Paso merger extinguishes standing, $171M award reversed
23 Dec 2016, 8:20 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Shareholders Have Right to Open McGraw-Hill’s Books to Investigate Ratings Violations
15 Sep 2014, 6:05 pm by John Jascob
Jascob, J.D.Shareholders of The McGraw-Hill Companies, Inc. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Raymond Lucia Fires Opening Salvo in ALJ Court Challenge, Aided by Mark Cuban
11 Feb 2016, 8:19 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 incentivize payment of arb awards, offers improvements
18 Apr 2018, 7:53 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Delaware Rapid Arbitration Bill Sails Through Legislature, Heads to Governor’s Desk
3 Apr 2015, 10:13 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/
New lawsuits zero in on Zoom’s alleged data security failures
13 Apr 2020, 5:40 pm by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
State regulators ask SEC to put the brakes on finders exemption
17 Nov 2020, 6:29 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
PCAOB chair discusses efforts to better the quality of audit services
5 Dec 2019, 7:36 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
FINRA proposal would further curb high-risk brokers
2 May 2018, 5:00 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/
PCAOB offers revised approach to quality control standards
20 Dec 2019, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Exchanges seek to extinguish transaction fee pilot
20 Feb 2019, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA offers views on FINRA’s capital formation rules
3 Aug 2017, 6:54 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
States Fire Back at SEC in Reg A+ Preemption Battle
29 Oct 2015, 7:18 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
‘All Factors’ Test Applied to Whether Notes Were Securities Under Arkansas Law
22 Jun 2015, 8:49 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/