Search for: "Jay Fishman" Results 41 - 60 of 121
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Massachusetts proposes fiduciary duty rule
7 Jan 2020, 8:08 am by John Jascob
By Jay Fishman, J.D.The Massachusetts Securities Division has proposed a fiduciary duty for broker-dealers [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Massachusetts Adopts Emergency Crowdfunding Exemption
20 Jan 2015, 2:49 pm by John Jascob
[This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Massachusetts [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Wyoming proposes investment adviser rules
2 May 2017, 5:00 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA requests public comments on securities manual exemption
2 May 2023, 5:26 am by Unknown
By Jay Fishman, J.D.The North American Securities Administrators Association, Inc. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Texas adopts cybersecurity incident procedures for dealers and investment advisers
25 Feb 2020, 6:38 am by John Jascob
By Jay Fishman, J.D.The Texas State Securities Board has adopted certain notification procedures that [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Massachusetts conducts cryptocurrency sweep, censures five companies
29 Mar 2018, 8:21 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
California leads: Public pension funds must disclose private equity fees
26 Aug 2016, 10:23 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Virginia Proposes Adding Prefatory Language to BD Unethical Rule to Avoid Federal Preemption
23 Sep 2014, 7:41 am by John Jascob
[This story previously appeared in Securities Regulation Daily.]By Jay Fishman, J.D.The Virginia Division [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
New York securities registration gets a 21st Century makeover
3 Dec 2020, 10:23 am by John Jascob
By Jay Fishman, J.D.New York’s Attorney General Letitia James announced the adoption of final securities [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA strongly supports senior victim and investor choice bills
2 Jul 2020, 11:49 am by John Jascob
By Jay Fishman, J.D.The North American Securities Administrators Association (NASAA) through its current [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Hedge Funds and State Securities by Jay Fishman Se...
13 Dec 2006, 3:11 am
Hedge Funds and State Securitiesby Jay FishmanSenior Writer AnalystCCH IncorporatedHedge funds are mentioned [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Finders by Jay Fishman Senior Writer Analyst, CCH,...
16 Nov 2006, 2:12 am
Findersby Jay FishmanSenior Writer Analyst, CCH, Inc.An emerging "hot" topic in Blue Sky law [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Clayton and Redfearn address equity market structure
11 Apr 2018, 6:45 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Massachusetts Permanently Adopts Emergency Crowdfunding Exemption
16 Apr 2015, 5:45 am by John Jascob
By Jay Fishman, J.D.The Massachusetts Securities Division permanently adopted an emergency intrastate [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC amendments remove credit ratings from Regulation M
8 Jun 2023, 9:56 am by Unknown
By Jay Fishman, J.D.The SEC has adopted rule amendments to federal Regulation M that replace credit ratings [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Delaware cedes to California on deciding plaintiff’s fraud claim
1 Feb 2021, 6:15 am by John Jascob
By Jay Fishman, J.D.The Delaware Court of Chancery denied the defendants’ motion to have Delaware [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Corporation attempting false sales of COVID-19 masks provokes SEC ire
28 Apr 2020, 6:22 pm by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA applauds Massachusetts’s preliminary fiduciary duty rule proposal
31 Jul 2019, 7:29 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Chair Gensler addresses the Investment Company Institute on fund proposals
30 May 2023, 6:30 am by Unknown
By Jay Fishman, J.D.SEC Chair Gary Gensler spoke to the Investment Company Institute (ICI) about Commission [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA adopts investment adviser information security model rule package
23 May 2019, 6:52 am by John Jascob
By Jay Fishman, J.D. The North American Securities Administrators Association, Inc. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/