Search for: "JAY R. GOULD"
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13 Jun 2013, 5:50 pm
Written by: Jay B. [read post]
13 Jun 2013, 5:50 pm
Written by: Jay B. [read post]
29 Apr 2013, 2:38 pm
Today, Jay Gould was interviewed by Deirdre Bolton on Bloomberg TV’s “Money Moves” where Jay discussed lifting the ban on hedge fund advertising. [read post]
16 Apr 2013, 9:36 am
Written by: Jay Gould On April 8, 2013, we reviewed a recent speech by David Blass, the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission (the “SEC”), in which Mr. [read post]
8 Apr 2013, 9:51 am
Written by: Jay Gould In a speech before the American Bar Association’s Trading and Markets Subcommittee on April 5, 2013, David Blass, the Chief Counsel of the Division of Markets and Trading, put hedge fund managers and private equity fund managers on notice that they may be engaged in unregistered (and therefore, unlawful) broker dealer activities as a result of the manner by which hedge fund managers compensate their personnel and, in the case of private equity fund… [read post]
27 Mar 2013, 1:29 pm
Gould, Partner, Pillsbury Additional SpeakersJerry Twomey, Deputy Commissioner, Division of Securities Regulation, California Department of Corporations Doug Bramhall, Tax Managing Director, KPMG Kristin A. [read post]
11 Mar 2013, 1:07 pm
Written by: Jay Gould Last month, the Securities and Exchange Commission (the “SEC”), published its examination priorities for 2013. [read post]
11 Mar 2013, 9:46 am
Written by: Jay Gould and Michael Wu Last week the SEC issued a Risk Alert and an Investor Bulletin on the Custody Rule after its National Examination Program ("NEP") observed significant deficiencies in recent examinations involving custody and safety of client assets by registered investment advisers. [read post]
25 Feb 2013, 1:43 pm
Written by: Jay Gould and Michael Wu On February 21, 2013, the Staff of the Securities and Exchange Commission (the “Staff” and the “SEC,” respectively) published its 2013 priorities for the National Examination Program (“NEP”) in order to provide registrants with the opportunity to bring their organizations into compliance with the areas that are perceived by the Staff to have heightened risk. [read post]
20 Feb 2013, 1:15 pm
Pillsbury partner Jay Gould talks about Challenges and Opportunities for Starting a Hedge Fund in 2013, a program co-sponsored by the law firm, and why he thinks 2013 will indeed be a good year for hedge fund managers. [read post]
30 Jan 2013, 2:38 pm
San Francisco Corporate & Securities partner Jay Gould is quoted in Compliance Week on new investor accreditation practices associated with the JOBS Act. [read post]
23 Oct 2012, 3:07 pm
Written by: Jay Gould and Peter Chess While you were touring the Champagne region or sipping umbrella drinks at the beach this summer, the California Department of Corporations (the “DOC”) was busy overhauling the rules applicable to investment advisers. [read post]
20 Oct 2012, 7:11 pm
Here’s how each opinion began, starting with Judge Jay Bybee’s lead opinion. [read post]
15 Oct 2012, 3:11 pm
Written by: Jay Gould and Peter Chess Heath Abshure, President of the North American Securities Administrators Association (NASAA) and Arkansas State Securities Commissioner, sharply criticized the Securities and Exchange Commission’s (the SEC’s) new rulemaking that will lift restrictions on general solicitation and general advertising for hedge funds and other private investment vehicles in a press-teleconference on October 9, 2012. [read post]
12 Oct 2012, 10:37 am
Written by: Jay Gould and Peter Chess On October 9, 2012, the Securities and Exchange Commission (SEC) announced the launch of an initiative to conduct focused, risk-based examinations of investment advisers to private funds that recently registered with the SEC. [read post]
1 Oct 2012, 11:14 am
Written by: Jay Gould and Peter Chess Effective December 3, 2012, hedge funds and other private funds that rely on Section 3(c)(1) of the Investment Company Act (“3(c)(1) Funds”) and which sell their interests through third party marketers, must ensure that their private placement memoranda (“PPM”) are filed with FINRA, the Financial Industry Regulatory Authority. [read post]
6 Sep 2012, 9:00 am
Benjamin Stevens of The Stevens Firm on their South Carolina Family Law Blog EEOC’s “emerging issues”: LGBT rights, and accommodations for pregnant women – Winston-Salem attorney Robin Shea of Constangy on the firm’s blog, Employment & Labor Insider SEC Releases Study on Financial Literacy While Retail Investors Wait for the Movie – San Francisco lawyer Jay Gould of Pillsbury on the Investment Fund Law… [read post]
6 Sep 2012, 6:07 am
Sources: SEC Staff Study Regarding Financial Literacy Among Investors Library of Congress Report on Financial Literacy Investor Research Report Appendix to Investor Research Report Good News for Fraudsters, Financial Illiteracy Is Widespread by Neal Lipschutz in WSJ.com’s Corruption Currents SEC Releases Study on Financial Literacy While Retail Investors Wait for the Movie by Jay Gould in Pillsbury’s Investment Fund Law Blog When Hedge Funds Advertise by Felix Salmon [read post]
4 Sep 2012, 5:15 pm
Written by: Jay Gould On August 30, 2012, the Securities and Exchange Commission (the “SEC”) released the Dodd Frank Act’s mandated study (the “Study”) on the financial literacy of retail investors which concludes, as you might have predicted, that retail investors are essentially clueless about investing and financial matters generally. [read post]
10 Aug 2012, 11:10 am
Clifton, Jay S. [read post]
