Search for: "Jay Fishman"
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13 Nov 2006, 12:28 pm
”That’s because “the complaint alleges that the senior executives were aware that the financial statements neither accurately accounted for nor made sufficient disclosures regarding defendants' alleged participation in bid-rigging or misuse of finite reinsur-ance, and that “the alleged kickback scheme was so pervasive that the company named it the 'Top Brass' program, underwriters made false or 'B' bids on a regular basis to rig the insurance market,… [read post]
14 Feb 2007, 10:42 pm
According to Jay Fishman, the Chairman and CEO of Travelers, "The red umbrella is one of the great American business icons. [read post]
24 Jun 2014, 5:00 am
Fishman succeeded Mr. [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]
24 Mar 2020, 4:01 pm
By Jay Fishman, J.D. [read post]
8 May 2018, 3:38 am
By Jay Fishman, J.D. [read post]
13 May 2015, 8:54 am
By Jay Fishman, J.D.The Texas Supreme Court affirmed the Texas Court of Appeals’ decision in two consolidated cases filed against a seller of life settlement agreements, finding that the agreements met the 1946 U.S. v. [read post]
18 Jan 2022, 5:53 am
By Jay Fishman, J.D.The Better Markets organization and SIFMA stand out among the many persons commenting on the SEC’s rule proposals to increase transparency in securities lending, with Better Markets supporting the rulemaking pretty much as written while SIFMA requests some significant modifications. [read post]
18 Jul 2022, 9:09 am
By Jay Fishman, J.D.The U.S. [read post]
30 Jun 2022, 6:50 am
By Jay Fishman, J.D.The Colorado Supreme Court rejected the Colorado Appellate Court’s finding that the Colorado Securities Commissioner failed to prove a heightened standard that a general partnership was an investment contract subject to federal and Colorado securities laws. [read post]
16 Sep 2019, 7:10 am
By Jay Fishman, J.D. [read post]
4 Nov 2016, 7:19 am
By Jay Fishman, J.D. [read post]
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]
29 Jul 2015, 1:05 pm
By Jay Fishman, J.D.New Hampshire’s Governor, Maggie Hassan, signed Senate Bill 266, comprising a new uniform securities act. [read post]
17 Apr 2019, 8:20 am
By Jay Fishman, J.D. [read post]
20 Sep 2021, 6:15 am
By Jay Fishman, J.D.The Massachusetts Securities Division issued a preliminary statement and entered into a consent order with Massachusetts Mutual Life Insurance Company’s subsidiary MML Investors Services (MMLIS) for MMLIS’s failure to have effective compliance policies in place to supervise and, hence, prevent its registered agent and retail investor educator (Gill) from manipulating and driving up the price of GameStop shares on YouTube, Twitter, Reddit, TikTok,… [read post]
11 Feb 2022, 6:51 am
By Jay Fishman, J.D.The SEC has proposed Regulation 13D-G amendments to beneficial ownership reporting on Schedules 13D and 13G, to modernize the schedules from their last updates in 1968 and 1977, respectively. [read post]
30 Apr 2018, 5:00 am
By Jay Fishman, J.D. [read post]
11 Jul 2017, 8:14 am
By Jay Fishman, J.D. [read post]
18 May 2015, 6:44 am
By Jay Fishman, J.D.The securities regulatory authorities of six Canadian provinces—British Columbia, Saskatchewan, Manitoba, Quebec, New Brunswick, and Nova Scotia—are adopting, by exemption orders, harmonized crowdfunding provisions to allow start-up and early stage companies to raise capital in these jurisdictions. [read post]
