Search for: "Jay Fishman"
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22 Sep 2023, 10:03 am
By Jay Fishman, J.D.The SEC Investor Advisory Committee (IAC), in a September 21, 2023 open meeting, welcomed five panelists to discuss Regulation D with emphasis on Rule 506. [read post]
8 Jun 2023, 9:56 am
By Jay Fishman, J.D.The SEC has adopted rule amendments to federal Regulation M that replace credit ratings for nonconvertible debt securities, nonconvertible preferred securities, and asset-backed securities with a default probability for nonconvertible debt securities and nonconvertible preferred securities. [read post]
30 May 2023, 6:30 am
By Jay Fishman, J.D.SEC Chair Gary Gensler spoke to the Investment Company Institute (ICI) about Commission fund proposals at the ICI’s Leadership Summit held in Washington D.C. from May 23rd to May 25th. [read post]
2 May 2023, 5:26 am
By Jay Fishman, J.D.The North American Securities Administrators Association, Inc. [read post]
24 Apr 2023, 6:51 am
By Jay Fishman, J.D.The Public Company Accounting Oversight Board (PCAOB) has just released a staff report on the risks to investors from special purpose acquisition companies (SPACs). [read post]
11 Apr 2023, 6:24 am
By Jay Fishman, J.D.California and Texas securities regulators joined the regulators of Alabama, Colorado, Delaware, New Jersey, South Dakota and the North American Securities Administrators Association, Inc. [read post]
16 Feb 2023, 8:35 am
By Jay Fishman, J.D.The SEC held an open meeting on February 15 on proposed new Rule 223-1 pertaining to investment adviser safekeeping of client assets. [read post]
23 Dec 2022, 7:24 am
By Jay Fishman, J.D.The United States Supreme Court granted Slack Technologies’ (Slack) Petition for Certiorari, along with granting various parties leave to file amicus curiae briefs, on the question of whether under federal Securities Act Section 11, a plaintiff shareholder is required to plead and prove that he bought shares registered under the registration statement in order to allege the registration statement is misleading (Slack Technologies v. [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]
29 Jul 2022, 11:33 am
The guest interviewed was Jay Fishman of Financial Research, a business valuation company headquartered just outside Philadelphia. [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]
10 May 2022, 8:27 am
By Jay Fishman, J.D.The SEC Small Business Capital Formation Advisory Committee held a virtual meeting on Friday May 6, 2022, inviting three guests to speak about the potential effects of the Commission’s March 21 2022 proposed climate-related disclosure rule amendments on small businesses.While the proposal remains out for public comment: (1) Chair Gary Gensler made opening remarks; (2) Commissioner Hester Peirce made subsequent remarks; (3) Corporation Finance as Deputy… [read post]
3 Mar 2022, 10:19 am
By Jay Fishman, J.D.The Washington Department of Financial Institutions has amended its policy on the securities exemption for employee benefit plans under Washington Securities Act Section 21.20.310(10).Rule 701. [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]
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]
13 Dec 2021, 12:38 pm
The committee will hear testimony from Alexis Goldstein, director of financial policy at the Open Markets Institute; Jai Massari, partner at Davis Polk & Wardwell, LLP; Dante Disparte, chief strategy officer and head of global policy at Circle; and Hilary Allen, professor of law at American University. [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]
3 Sep 2021, 2:33 pm
By Jay Fishman. [read post]
24 Jun 2021, 6:57 am
By Jay Fishman, J.D.SEC Chair Gary Gensler, on June 23, 2021, addressed London City Week about public company disclosures, market structure, transparency, and LIBOR. [read post]
