Search for: "Jay Fishman"
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24 Aug 2015, 8:16 am
By Jay Fishman, J. [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]
4 Jun 2018, 5:00 am
By Jay Fishman, J.D. [read post]
11 Apr 2018, 6:45 am
By Jay Fishman, J.D. [read post]
1 Aug 2018, 7:15 am
By Jay Fishman, J.D.The SEC issued a statement from Chairman Jay Clayton asking investors, issuers, and other market participants to comment on whether the Commission’s existing proxy rules should be refined in advance of a fall 2018 roundtable that will discuss the matter. [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]
18 Dec 2019, 7:17 am
By Jay Fishman, J.D.The Texas State Securities Board has proposed certain procedures that dealers and investment advisers must undertake when a cybersecurity incident is triggered.Cybersecurity incident procedures. [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]
29 Mar 2018, 8:21 am
By Jay Fishman, J.D. [read post]
20 Jan 2015, 2:49 pm
[This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Massachusetts Securities Division adopted an emergency intrastate crowdfunding exemption, permitting job growth by helping Massachusetts small and early-stage businesses find investors and gain greater access to capital with fewer restrictions.Benefits. [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]
23 Sep 2014, 7:41 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 proposed adding 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]
2 May 2023, 5:26 am
By Jay Fishman, J.D.The North American Securities Administrators Association, Inc. [read post]
28 Apr 2020, 6:22 pm
By Jay Fishman, J.D. [read post]
31 Jul 2019, 7:29 am
By Jay Fishman, J.D. [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]
16 Apr 2015, 5:45 am
By Jay Fishman, J.D.The Massachusetts Securities Division permanently adopted an emergency intrastate crowdfunding exemption permitting job growth by helping Massachusetts small and early-stage businesses find investors and gain greater access to capital with fewer restrictions.Benefits. [read post]
2 May 2017, 5:00 am
By Jay Fishman, J.D. [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]
26 Aug 2016, 10:23 am
By Jay Fishman, J.D. [read post]
