Jim Hamilton’s World of Securities Regulation

"A blog that tracks and discusses important securities law and corporate governance developments in the federal, state and international arenas."

Author: Jim Hamilton is a principal securities analyst at CCH Inc. He is the author of Sarbanes-Oxley Manual: A Handbook for the Act and SEC Rules and Responsibilities of Corporate Officers and Directors Under Federal Securities Law; and Jay Fishman and N. Peter Rasmussen are a senior writer analysts at Wolters Kluwer Law & Business.

Blawg Related Categories: Securities Law

Recent Posts from Jim Hamilton’s World of Securities Regulation

Indenture did not Require Timely SEC FilingBy Rodney TonkovicAssociate Writer-AnalystCCH Federal Securities Law ReporterIn a case of first impression, an Eighth Circuit panel affirmed a district court judgment that a company had no obligation under…
Union Pension Fund to Head Freddie Mac Class SuitJudge John Keenan named the Teamsters' Central States, Southeast and Southwest Areas Pension Fund as lead plaintiff in a class action by holders of common stock of…
Maryland Sets Forth Electronic Form D Filing ProceduresBetween September 15, 2008 to March 15, 2009, issuers making securities offerings under either Rule 505 or 506 of federal Regulation D must file the version(s) of Form…
9th Circuit Rejects Collective ScienterMust a fraud plaintiff plead facts showing that the particular individual who made allegedly actionable misstatements acted with scienter in order to recover against a corporate defendant? The 9th Circuit, in…
LLC Managers Not Subject to Florida Long Arm Jurisdiction A Florida appellate court has ruled that the non-resident managers of a limited liability company were not subject to personal jurisdiction in Florida for the LLC's…
Risk Management at Top of List for Financial Regulatory ReformIt has become clear that the financial market crisis was partially caused by a failure of risk management. This is somewhat perplexing because the concept of…
NASAA to Host Regulatory Reform RoundtableThe North American Securities Administrators Association (NASAA) has announced that it will host a Regulatory Reform Roundtable on December 11 to outline the essential elements that the incoming administration and…
Missouri Implements Electronic Form D Filing ProceduresIssuers intending to make a Rule 506 securities offering in Missouri during the electronic Form D transition period--September 15, 2008 to March 15, 2009--must paper file directly with the…
Probable Treasury Pick Called for Reform of Securitization Earlier This YearNY Fed President Timothy Geithner, who is the likely Treasury Secretary under President Obama, called for the reform of securitization in the first quarter of…
Fund Disclosure, Money Market Redemption Rules AdoptedThe SEC adopted rule amendments designed to improve mutual fund disclosure by providing investors with a summary prospectus containing key information in plain English in a clear and concise…