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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/
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/
Failure to plead demand futility cancels suit over Danaher’s board diversity
29 Jun 2021, 6:10 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/
Roisman weighs in on balancing benefits, burdens of ESG disclosures
9 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 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/
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/
Game Stopped, Part II: House hearing explores best execution, short sales, and gamification in wake of GameStop surge
18 Mar 2021, 8:09 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Robinhood faces Congressional ire, shareholder suit as ‘Reddit trolls’ squeeze hedge funds over GameStop shorts
29 Jan 2021, 8:04 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Letter to the editor was not a proxy solicitation under Alaska law
12 Jan 2021, 8:46 am by John Jascob
By John M. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
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/
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/
'Pay to play’ rule doesn’t pass the smell test, say AMAC panelists
2 Dec 2020, 8:27 am 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/
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 seeks comments on SROs’ market data plan
9 Oct 2020, 7:54 am by John Jascob
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 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/
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/