Search for: "Jay Fishman"
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3 May 2021, 7:49 am
By Jay Fishman, J.D.An "Insights from Finance" panel, one of several panels comprising an April 30, 2021 New York University (NYU) conference on Environmental, Social and Governance Disclosures (ESG), asked participants to address ESG disclosures’ impact on corporations globally. [read post]
25 Feb 2021, 9:00 am
By Jay Fishman, J.D.Various financial intermediaries have submitted written letters to New York’s state legislative tax committee expressing either support for or opposition to a stock transfer tax bill (STT) James Sanders Jr. introduced in the New York Senate, accompanied by Phil Steck’s corresponding bill in the New York Assembly. [read post]
1 Feb 2021, 6:15 am
By Jay Fishman, J.D.The Delaware Court of Chancery denied the defendants’ motion to have Delaware deemed the choice of law for deciding the plaintiff investor’s fraud claim under the California Securities Act. [read post]
11 Jan 2021, 8:56 am
By Jay Fishman, J.D.The North American Securities Administrators Association (NASAA), on January 4, 2021, submitted a letter to the SEC applauding the Commission’s proposal to simplify investment company shareholder reports, to make them shorter, user-friendly and much more digestible for retail investors. [read post]
15 Dec 2020, 6:50 am
., Jay Fishman, J.D., John M. [read post]
3 Dec 2020, 10:23 am
By Jay Fishman, J.D.New York’s Attorney General Letitia James announced the adoption of final securities rules to modernize registration and filing with the Investor Protection Bureau (IPB). [read post]
11 Nov 2020, 8:35 am
By Jay Fishman, J.D.A Wyoming Banking Division no-action letter (NAL) to the SEC’s Investment Management Division and FinHub Staff on Wyoming- and other state-chartered public trust companies’ custodial rights over their clients’ digital assets prompted the Commission to request public comments on the matter.Wyoming NAL. [read post]
3 Sep 2020, 6:43 am
By Jay Fishman, J.D.A panel at this year’s fall conference of the North American Securities Administrators Association, Inc. [read post]
2 Jul 2020, 11:49 am
By Jay Fishman, J.D.The North American Securities Administrators Association (NASAA) through its current President and New Jersey Securities Bureau Director, Christopher Gerold, expressed strong support for two Senate bills: (1) the Edith Shorougian Senior Victims of Fraud Compensation Act (S. 3487); and (2) the Investor Choice Act of 2019 (S. 2992). [read post]
28 Apr 2020, 6:22 pm
By Jay Fishman, J.D. [read post]
16 Apr 2020, 6:57 pm
By Jay Fishman, J.D.The latest states to have issued COVID-19 related blue sky orders include New Hampshire, North Dakota, Oklahoma and Washington.New Hampshire. [read post]
15 Apr 2020, 4:35 pm
By Jay Fishman, J.D. [read post]
8 Apr 2020, 4:27 pm
By Jay Fishman, J.D. [read post]
6 Apr 2020, 8:37 pm
By Jay Fishman, J.D. [read post]
31 Mar 2020, 4:33 pm
By Jay Fishman, J.D. [read post]
24 Mar 2020, 4:01 pm
By Jay Fishman, J.D. [read post]
9 Mar 2020, 6:36 am
By Jay Fishman, J.D.The SEC, following the June 2019 publication of a concept release on the Commission’s 10 long-standing rule exemptions (or safe harbors) from securities registration, has now proposed amendments to some of those exemptions, including the Rule 506, Regulation A and Regulation Crowdfunding exemptions. [read post]
25 Feb 2020, 6:38 am
By Jay Fishman, J.D.The Texas State Securities Board has adopted certain notification procedures that dealers and investment advisers must undertake when a cybersecurity incident is triggered, effective February 27, 2020.Cybersecurity incident procedures. [read post]
29 Jan 2020, 6:00 am
By Jay Fishman, J.D. [read post]
7 Jan 2020, 8:08 am
By Jay Fishman, J.D.The Massachusetts Securities Division has proposed a fiduciary duty for broker-dealers, agents, investment advisers, and investment adviser representatives when they provide investment advice; recommend an investment strategy; open or transfer assets to any account type; or buy, sell or exchange any security, commodity or insurance product. [read post]
