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6 Jan 2020, 7:29 am
By Jay Fishman, J.D.The SEC, as part of a settlement agreement with a New York based start-up blockchain company (BC), waived the federal Regulation D, Rule 506(d)(2)(ii) disqualification provisions, thereby allowing BC to sell its digital tokens in the future by either publicly registering them with the Commission or by claiming an applicable registration exemption such as the exemption under Rule 506 (In the Matter of Blockchain of Things, Inc., December 18, 2019, Release No.… [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]
31 Oct 2019, 8:06 am
By Jay Fishman, J.D.The North American Securities Administrators Association, Inc. [read post]
22 Oct 2019, 8:16 am
By Jay Fishman, J.D. [read post]
23 Sep 2019, 8:05 am
By Jay Fishman, J.D. [read post]
16 Sep 2019, 7:10 am
By Jay Fishman, J.D. [read post]
26 Aug 2019, 7:02 am
By Jay Fishman, J.D. [read post]
31 Jul 2019, 7:29 am
By Jay Fishman, J.D. [read post]
1 Jul 2019, 5:00 am
By Jay Fishman, J.D. [read post]
18 Jun 2019, 7:24 am
By Jay Fishman, J.D. [read post]
7 Jun 2019, 3:00 am
http://www.radicalcompliance.com/2019/06/05/carnival-dinged-20m-compliance/ NASAA adopts investment adviser information security model rule package Jay Fishman, J.D. [read post]
23 May 2019, 6:52 am
By Jay Fishman, J.D. [read post]
17 Apr 2019, 8:20 am
By Jay Fishman, J.D. [read post]
2 Apr 2019, 8:11 am
By Jay Fishman, J.D. [read post]
28 Mar 2019, 7:28 am
By Jay Fishman, J.D. [read post]
6 Mar 2019, 8:51 am
By Jay Fishman, J.D. [read post]
28 Jan 2019, 5:00 am
By Jay Fishman, J.D. [read post]
28 Nov 2018, 7:17 am
By Jay Fishman, J.D. [read post]
7 Sep 2018, 9:11 am
By Jay Fishman, J.D. [read post]
22 Aug 2018, 7:22 am
By Jay Fishman, J.D. [read post]
