Search for: "Jay Fishman"
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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]
6 Mar 2019, 8:51 am
By Jay Fishman, J.D. [read post]
10 Jul 2007, 9:20 am
Fishman, chief executive of Travelers. [read post]
17 Jul 2007, 2:57 am
Fishman, the insurer’s Chairman and CEO. [read post]
21 Aug 2015, 6:19 am
By Jay Fishman, J.D.The U.S. [read post]
17 Jan 2017, 5:00 am
By Jay Fishman, J.D.CFTC Chairman Timothy Massad has announced the proposal, by a unanimous vote, of Commodity Exchange Act (CEA) rule amendments making it easier for domestic and foreign regulators to access swap data repository (SDR) swap data.The Dodd-Frank Act promulgated new CEA Section 21 to create SDRs for housing swap data that other CEA rules required swap dealers (and other parties) to report on from their swaps transactions. [read post]
29 Jan 2020, 6:00 am
By Jay Fishman, J.D. [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]
8 May 2015, 7:10 am
By Jay Fishman, J.D. [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]
11 Nov 2020, 8:35 am
By Jay Fishman, J.D.A Wyoming Banking Division no-action letter (NAL) to the SEC’s Investment Management Division and FinHub Staff on Wyoming- and other state-chartered public trust companies’ custodial rights over their clients’ digital assets prompted the Commission to request public comments on the matter.Wyoming NAL. [read post]
11 Dec 2015, 1:56 pm
By Jay Fishman, J.D.A bill introduced in the Arizona Senate would permit private investment advisers to set up shop in the state to invest in Arizona companies. [read post]
10 Jun 2015, 5:06 am
By Jay Fishman, J.D.The Texas State Securities Board adopted amendments to general records, notice and compliance rules, and repealed Form 133.1, Texas Public Information Request Form. [read post]
22 Feb 2016, 8:23 am
By Jay Fishman, J.D. [read post]
16 Oct 2014, 12:25 pm
[This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Maryland Legislature adopted, effective October 1, 2014, a non-crowdfunding intrastate small business exemption. [read post]
11 Jan 2021, 8:56 am
By Jay Fishman, J.D.The North American Securities Administrators Association (NASAA), on January 4, 2021, submitted a letter to the SEC applauding the Commission’s proposal to simplify investment company shareholder reports, to make them shorter, user-friendly and much more digestible for retail investors. [read post]
10 Oct 2017, 10:37 am
By Jay Fishman, J.D. [read post]
27 Oct 2014, 9:08 am
[This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.Michigan is the first state to legalize the creation of a secondary market for privately crowdfunded securities now that Governor Rick Snyder signed House Bill 5273. [read post]
