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Jim Hamilton's World of Securities Regulation 
Opines on every level of securities regulation (federal, state, international, theoretical) covering market players of all types (e.g., accountants, broker-dealers, foreign issuers, hedge funds, market manipulators) who engage all sorts of transactions and activities (acquisitions, financial reporting, private placements, pyramid schemes). Highlights issues of particular importance to securities lawyers and their clients with emphasis on SEC rulemaking, industry trends, and the many curiosities that inhabit this world.
Post Frequency: 15.3/day Last Entry: April 01, 2011 at 16:29:00 Recent Entries: 1602
By Jim Hamilton
Go to Jim Hamilton's World of Securities Regulation, find other Corporate & Securities Law blogs, or browse all law blogs.
House Bill Would Provide Tax Relief
Posted on March 12, 2009House Bill Would Provide Tax Relief to Defrauded Madoff InvestorsRep. Gary Ackerman a senior member of the House Financial Services Committee, has introduced legislation that would allow victims of Bernie Madoff?s Ponzi scheme to receive refunds for the taxes they paid on phantom profits; revenue they thought they earned which in reality never existed due to the fraud...
SEC Senior Official Reaffirms Importance
Posted on March 12, 2009SEC Senior Official Reaffirms Importance of Fair Value to Market TransparencyThe Acting SEC Chief Accountant told Congress that fair value accounting increases financial reporting transparency and facilitates better investment decision making and will not be suspended...
EDGAR Access Code Applicants May
Posted on March 11, 2009EDGAR Access Code Applicants May Submit Authenticating Documents as PDF AttachmentsApplicants for EDGAR access codes may submit authenticating documents as PDF attachments to their online Form ID applications rather than submitting them by fax, under SEC Release No...
Bill Would Take Accounting Oversight
Posted on March 11, 2009Bill Would Take Accounting Oversight from SEC and Give it to New BoardBi-partisan legislation creating a new Federal Accounting Oversight Board to oversee the application of financial accounting standards has been introduced by two members of the House Financial Services Committee, Rep...
Maine Contemplates IA Exam Change
Posted on March 11, 2009Maine Contemplates IA Exam Change in Light of Madoff CaseThe Maine Office of Securities requests that state investment advisers comment on the Securities Office's intention to propose an additional step to its examination of investment advisers, before this additional step is implemented...
House Hearings Explore Mandate
Posted on March 11, 2009House Hearings Explore Mandate of Systemic Risk RegulatorAs the House Financial Services Committee readies legislation on system risk, the Capital Markets subcommittee held hearings on the securities, capital markets, and credit default swaps issues surrounding systemic risk...
Legislation Reforming Financial
Posted on March 10, 2009Legislation Reforming Financial Regulation Will be Dual Tracked for Systemic Risk and Investor ProtectionCongress plans to complete the reform of regulation of the financial markets this year in two separate steps involving the regulation of systemic risk and restoring investor confidence...
IOSCO Urges Transparency in Futures
Posted on March 09, 2009IOSCO Urges Transparency in Futures and Derivatives MarketsFutures markets must become more transparent and regulators must be given enhanced enforcement powers, concluded a report by IOSCO?s Task Force on Commodity Futures Markets. The task force, which was formed following concerns about volatility in energy commodities in 2008, focused on whether the regulation of futures markets is effective in light of recent market developments...
Key Senators Call for Select Committe
Posted on March 06, 2009Key Senators Call for Select Committe to Investigate Financial CrisisSenators John McCain (R-AZ) and Byron Dorgan (D-ND) yesterday introduced legislation that would establish a Senate select committee to investigate the causes of the financial crisis and to make recommendations to ensure that a similar crisis never occurs again...
Should Legislative Reform of the
Posted on March 06, 2009Should Legislative Reform of the Financial Markets Been Done FirstIn his floor remarks on the day the Senate passed the American Recovery and Reinvestment Act, the Senator from the state of Alabama, Richard Shelby, reminded us that the first thing President Franklin D...
President Obama Sets Forth Principles
Posted on February 26, 2009President Obama Sets Forth Principles to Guide Reform of Financial RegulationPresident Obama has outlined seven broad key principles involving transparency, systemic risk management, and investor protection that will guide Congress in passing legislation to reform the financial and securities markets...
NASAA Opens Registration for 24th
Posted on February 26, 2009NASAA Opens Registration for 24th Annual Public Policy ConferenceThe North American Securities Administrators Association (NASAA) has now opened registration for its 24th Annual Public Policy Conference. This year?s conference, which brings together securities regulators, financial service industry representatives, consumer groups and policy makers, will be held at the Washington Court Hotel in Washington, D...
White Paper on Executive Compensation
Posted on February 26, 2009White Paper on Executive Compensation and Corporate Governance Provisions of the Stimulus Legislation Is AvailableThe corporate governnace and executive compensation provisions of the American Recovery and Reinvestment Act are significant. They were inserted into the legislation by Senate Banking Committee Chair Christopher Dodd...
Indiana Proposes Securities Rule
Posted on February 26, 2009Indiana Proposes Securities Rule Changes to Coordinate with Adopted New ActThe Indiana Securities Division proposed rule amendments, new rules and proposals to eliminate outdated rules, to coordinate the rules with the July 1, 2008 adoption of the new Indiana Uniform Securities Act modeled after the Uniform Securities Act of 2002...
Kentucky Issues Stop Order Against
Posted on February 25, 2009Kentucky Issues Stop Order Against Rule 506 OfferingThe Kentucky Department of Financial Institutions (DFI) has issued a stop order against a Rule 506 offering based on inaccurate and inconsistent information contained in the issuer's notice filing with the state...
Connecticut Proposes Tougher Hedge
Posted on February 25, 2009Connecticut Proposes Tougher Hedge Fund LawsConnecticut, a state with a large volume of hedge funds, has proposed tougher oversight for the hedge fund industry following the Madoff scandals and market losses. State legislators recently introduced three bills that would bring changes to the state's longstanding hands-off approach, according to a letter the Connecticut Hedge Fund Association sent to its members on Tuesday...
Kansas Proposes to Increase Investment
Posted on February 25, 2009Kansas Proposes to Increase Investment Company Filing FeesThe notice fee for filing Form NF, Uniform Investment Company Notice Filing, to make an offering of investment company securities would increase to $750, from $500. Similarly, the notice fee to file Form NF to make an offering of unit investment trust securities would increase to $500, from $200...
SEC Says Canadian Company and Finance
Posted on February 23, 2009SEC Says Canadian Company and Finance Officers Misled Outside Auditors in Options Backdating SchemeAn SEC enforcement action charges a Canadian company and four of its senior officers with misleading the company?s independent auditors about a stock option backdating scheme...
Dodd Letter to SEC Details Effective
Posted on February 23, 2009Dodd Letter to SEC Details Effective Dates of Say on Pay and Compliance CertificationIn a letter to SEC Chair Mary Schapiro, Senate Banking Committee Chair Christopher Dodd explained the shareholder advisory vote provisions for TARP recipients in the American Recovery and Reinvestment Act of 2009...
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When Government Inversely Condemns Property by Regulation, Magnitude of State Interest Has No Bearing Upon Just Compensation
The New Jersey Supreme Court recently decided a case in which a p...
When Government Inversely Condemns Property by Regulation, Magnitude of State Interest Has No Bearing Upon Just Compensation
The New Jersey Supreme Court recently decided a case in which a p...
World-renowned Dermatologist Warns Public of Botox Dangers
Beverly Hills, CA: Dr. Arnold Klein, a world-renowned dermatologis...
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Where can I read more about the latest Compliance Alert issued by the U.S. Securities and Exchange Commission?
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I feel everyone should be treated equal in this world, but in a lot of cases that doesn't happen. I live in a white community with only 2 to 3 African American families. I belong to one of them. A week after getting into
I would call the courthouse and ask for the judges assistant, and ask them why t...
I live in Sarasota, FL and am appalled at the apartment living conditions in this area. How in the world do they get away with building these apartments with no insulation to keep the noise down between floors (and walls
Talk to your local political representatives to see if you can find somebody sym...
Do I have to pay taxes on the sale of virtual items in online games like Second Life and World of Warcraft?
It would seem the most sensical that: a) those who play purely for entertainment...
Bar issues include constant trash in front of my business, left over open containers of alcohol and broken beer bottles in parking lot. Overnight parking in front of my business from bar customers who drank too much and
Find out about city ordinances. Talk to them and see how they can help; be court...
Where can I read more about the latest Compliance Alert issued by the U.S. Securities and Exchange Commission?
You can read more on SEC website http://sec.gov/about/offices/ocie/complialert07...
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