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30 Jun 2016, 6:47 am
By Jay Fishman, J.D. [read post]
3 Feb 2017, 7:02 am
By Jay Fishman, J.D. [read post]
4 Jun 2018, 5:00 am
By Jay Fishman, J.D. [read post]
19 Feb 2018, 11:05 am
By Jay Fishman, J.D. [read post]
13 Jul 2015, 6:29 am
By Jay Fishman, J.D.Washington is the first state to propose a notice filing for Regulation A Tier 2 offerings, following the SEC’s adoption of Regulation A amendments on June 19, 2015.Initial offering. [read post]
8 Apr 2020, 4:27 pm
By Jay Fishman, J.D. [read post]
18 Jun 2019, 7:24 am
By Jay Fishman, J.D. [read post]
24 Apr 2023, 6:51 am
By Jay Fishman, J.D.The Public Company Accounting Oversight Board (PCAOB) has just released a staff report on the risks to investors from special purpose acquisition companies (SPACs). [read post]
6 Dec 2014, 7:49 am
[This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Virginia Division of Securities and Retail Franchising within the State Corporation Commission added prefatory language to a broker-dealer/agent unethical practice rule provision to avoid having the provision become federally preempted by the National Securities Markets Improvement Act of 1996 (NSMIA).Compensation disclosure provision. [read post]
19 Jul 2016, 7:24 am
By Jay Fishman, J.D. [read post]
22 Aug 2018, 7:22 am
By Jay Fishman, J.D. [read post]
25 Aug 2014, 12:16 pm
[This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Washington Department of Financial Institutions, Securities Division, has proposed crowdfunding rules for October 1 implementation so that issuers may claim the crowdfunding exemption under Washington’s Jobs Act of 2014.Comments. [read post]
28 Jan 2019, 5:00 am
By Jay Fishman, J.D. [read post]
10 Mar 2017, 11:05 am
By Jay Fishman, J.D. [read post]
2 Dec 2022, 12:03 pm
By Jay Fishman, J.D.A leading global market maker with a significant interest in ensuring success and efficiency in the U.S. retail securities market has filed a complaint against the SEC in New York’s Southern District Court for allegedly stonewalling the plaintiff’s request for records in advance of retail stock order proposed rules the Commission plans to announce by 2022 year-end. [read post]
15 Sep 2017, 7:08 am
By Jay Fishman, J.D. [read post]
24 Aug 2015, 8:16 am
By Jay Fishman, J. [read post]
17 May 2016, 6:45 am
By Jay Fishman, J.D. [read post]
11 Apr 2023, 6:24 am
By Jay Fishman, J.D.California and Texas securities regulators joined the regulators of Alabama, Colorado, Delaware, New Jersey, South Dakota and the North American Securities Administrators Association, Inc. [read post]
28 Mar 2019, 7:28 am
By Jay Fishman, J.D. [read post]
