Search for: "Jay Fishman"
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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]
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]
30 Apr 2018, 5:00 am
By Jay Fishman, J.D. [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]
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]
9 Mar 2020, 6:36 am
By Jay Fishman, J.D.The SEC, following the June 2019 publication of a concept release on the Commission’s 10 long-standing rule exemptions (or safe harbors) from securities registration, has now proposed amendments to some of those exemptions, including the Rule 506, Regulation A and Regulation Crowdfunding exemptions. [read post]
19 Nov 2009, 2:00 pm
Thompson Transport Workers Union Local 100 UAW NYS CAP Council UFCW 1500 UFCW International Region 1 United Federation of Teachers Peter Ward Jay Warshaw Richard Whalen William F. [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]
26 Aug 2019, 7:02 am
By Jay Fishman, J.D. [read post]
31 Oct 2019, 8:06 am
By Jay Fishman, J.D.The North American Securities Administrators Association, Inc. [read post]
2 Apr 2019, 8:11 am
By Jay Fishman, J.D. [read post]
22 Oct 2019, 8:16 am
By Jay Fishman, J.D. [read post]
22 Nov 2017, 8:39 am
By Jay Fishman, J.D. [read post]
16 Apr 2020, 6:57 pm
By Jay Fishman, J.D.The latest states to have issued COVID-19 related blue sky orders include New Hampshire, North Dakota, Oklahoma and Washington.New Hampshire. [read post]
1 Jul 2019, 5:00 am
By Jay Fishman, J.D. [read post]
31 Mar 2020, 4:33 pm
By Jay Fishman, J.D. [read post]
3 May 2021, 7:49 am
By Jay Fishman, J.D.An "Insights from Finance" panel, one of several panels comprising an April 30, 2021 New York University (NYU) conference on Environmental, Social and Governance Disclosures (ESG), asked participants to address ESG disclosures’ impact on corporations globally. [read post]
20 Nov 2015, 5:00 am
By Jay Fishman, J.D.The New Jersey State Legislature enacted an intrastate offering exemption (crowdfunding) to help small businesses raise capital in the state. [read post]
3 Sep 2021, 2:33 pm
By Jay Fishman. [read post]
7 Sep 2018, 9:11 am
By Jay Fishman, J.D. [read post]
