Search for: "Jay Fishman"
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6 Mar 2019, 8:51 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 [read post]
10 Oct 2017, 10:37 am
By Jay Fishman, J.D. [read post]
22 Feb 2016, 8:23 am
By Jay Fishman, J.D. [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 [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 [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 [read post]
21 Aug 2015, 6:19 am
By Jay Fishman, J.D.The U.S. [read post]
8 May 2015, 7:10 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 [read post]
11 Jan 2021, 8:56 am
By Jay Fishman, J.D.The North American Securities Administrators Association (NASAA), on January 4, 2021 [read post]
29 Jan 2020, 6:00 am
By Jay Fishman, J.D. [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 [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 [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 [read post]
23 Sep 2019, 8:05 am
By Jay Fishman, J.D. [read post]
28 Nov 2018, 7:17 am
By Jay Fishman, J.D. [read post]
13 Nov 2006, 12:28 pm
had repeatedly violated its own underwriting policies, and the alleged misconduct accelerated after Jay [read post]
24 Jun 2014, 5:00 am
Faulkner 110,000 219,938 0 380 330,318 Jay S. [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 [read post]
