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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/
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/
SEC approves offering and communication reforms for BDCs and closed-end funds
8 Apr 2020, 4:30 pm by John Jascob
By John M. [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/
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/
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/