» Clayton, Hinman agree proxy process is due for overhaul
17/07/19 14:34 from Jim Hamilton's World of Securities Regulation

» Former NFA CEO expounds on self-regulation in the futures and derivatives markets and where the pendulum may swing next
16/07/19 13:15 from Jim Hamilton's World of Securities Regulation

» YouNow token offering qualified; are Reg. A floodgates opening?
15/07/19 14:27 from Jim Hamilton's World of Securities Regulation

» CFTC commissioners clash over DCO registration proposal, but alternative compliance proposal gets unanimous nod
12/07/19 15:14 from Jim Hamilton's World of Securities Regulation

» Compliance Bricks and Mortar for July 12
12/07/19 09:00 from Compliance Building
These are some of the compliance-related stories that recently caught my attention. Allison Herren Lee Sworn In As SEC Commissioner Allison Herren Lee was sworn into office on July 8 as an SEC Commissioner.Ms. Lee was nominated...

» House passes Dodd-Frank whistleblower fix along with small package of securities bills
11/07/19 13:00 from Jim Hamilton's World of Securities Regulation

» Commission will consider offers of settlement and waiver requests as a single recommendation
10/07/19 12:21 from Jim Hamilton's World of Securities Regulation

» SEC approves proposed amendments to lower margins for security futures from 20 to 15 percent
09/07/19 10:50 from Jim Hamilton's World of Securities Regulation

» Brexit threatens to cause disruptions for clearinghouse supervision, industry warns
08/07/19 14:32 from Jim Hamilton's World of Securities Regulation

» Value, values, or both? PLI panelists discuss ESG matters
05/07/19 14:44 from Jim Hamilton's World of Securities Regulation