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2020 year in review: SEC and CFTC rulemaking and enforcement developments
15 Dec 2020, 6:50 am by John Jascob
., John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA defends extraterritorial application of Kansas Blue Sky law
2 Dec 2016, 11:21 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Advocates Credit Check Exclusion for FINRA
5 Jan 2015, 9:28 am 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 Won’t Appeal Koch, Announces Process for Addressing Impermissible Collateral Bars
13 Oct 2015, 7:58 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA proposes policy on electronic offering documents
4 May 2016, 8:27 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Investor Advocate to Keynote NASAA’s Public Policy Conference
28 Mar 2015, 7:05 am 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/
Massachusetts updates COVID-19 accommodations for corporate finance filers, investment advisers
1 Oct 2020, 12:06 pm by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Adopts Model Business Continuity Rule for Advisers
24 Apr 2015, 7:53 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Campaign for Accountability Sues SEC for Rulemaking on Political Contribution Disclosure
14 May 2015, 7:09 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Questions Value, Viability of Venture Exchanges
13 Mar 2015, 11:33 am 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/
Delaware appraisal petitions continue to fall, Cornerstone finds
18 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 proposes concentration limits for non-traded REIT investments
29 Jul 2016, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
OTC Markets petitions to expand Reg A+ access to reporting companies
9 Jun 2016, 8:09 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Receiver’s claims did not exceed statutory authority
7 Jan 2019, 9:03 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
FINRA proposal far from solving unpaid arb award problem, says NASAA
29 Dec 2017, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA Seeks to Close Gaps in M&A Broker Proposals
26 Jan 2016, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Promissory notes with repayment option were not securities
21 Feb 2017, 5:00 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Experts express skepticism over proposals for deregulation
15 May 2017, 7:27 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
New C&DIs clarify application of COVID-19 order to late filing notices
31 Mar 2020, 4:22 pm by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Trulia’s impact lessens but is still being felt, Cornerstone finds
19 Sep 2019, 5:08 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/