Search for: "Jay Fishman" Results 81 - 100 of 121
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Massachusetts proposes crowdfunding, Reg. A + notice filing requirements
4 Nov 2016, 7:19 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Court rejects lower court’s heightened standard for proving an investment contract
30 Jun 2022, 6:50 am by John Jascob
By Jay Fishman, J.D.The Colorado Supreme Court rejected the Colorado Appellate Court’s finding [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Mass Mutual penalized $4.75M for unmonitored social media GameStop fraud
20 Sep 2021, 6:15 am by John Jascob
By Jay Fishman, J.D.The Massachusetts Securities Division issued a preliminary statement and entered [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Rule 506 disqualifications waived for unregistered—but cooperating—blockchain company
6 Jan 2020, 7:29 am by John Jascob
By Jay Fishman, J.D.The SEC, as part of a settlement agreement with a New York based start-up blockchain [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Three states seek intervention and review to preserve fiduciary rule
30 Apr 2018, 5:00 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Defendants’ constitutional rights not violated by SEC settlement’s no-deny policy
18 Jul 2022, 9:09 am by John Jascob
By Jay Fishman, J.D.The U.S. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Wyoming adopts new investment adviser, crowdfunding, Reg. A + rules
11 Jul 2017, 8:14 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC proposes long-standing exemption amendments to propel capital raising
9 Mar 2020, 6:36 am by John Jascob
By Jay Fishman, J.D.The SEC, following the June 2019 publication of a concept release on the Commission [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
New Hampshire Adopts Uniform Securities Act
29 Jul 2015, 1:05 pm by John Jascob
By Jay Fishman, J.D.New Hampshire’s Governor, Maggie Hassan, signed Senate Bill 266, comprising [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
New Jersey is second state to propose uniform fiduciary standard
17 Apr 2019, 8:20 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Life Settlement Agreements Meet Howey Securities Test in Texas
13 May 2015, 8:54 am by John Jascob
By Jay Fishman, J.D.The Texas Supreme Court affirmed the Texas Court of Appeals’ decision in two [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Court to decide whether Section 11 lawsuits cover only securities traceable to registration statement
23 Dec 2022, 7:24 am by Unknown
By Jay Fishman, J.D.The United States Supreme Court granted Slack Technologies’ (Slack) Petition [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA panelists emphasize uptick in senior fraud during pandemic
3 Sep 2020, 6:43 am by John Jascob
By Jay Fishman, J.D.A panel at this year’s fall conference of the North American Securities Administrators [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
St. Paul Travelers to Purchase Citigroup's Umbrella Trademark
14 Feb 2007, 10:42 pm
According to Jay Fishman, the Chairman and CEO of Travelers, "The red umbrella is one of the great [read post]
Daily Dose of IP - http://dailydoseofip.blogspot.com/
Canadian Provinces Adopt Crowdfunding
18 May 2015, 6:44 am by John Jascob
By Jay Fishman, J.D.The securities regulatory authorities of six Canadian provinces—British Columbia [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Commenters differ on SEC’s securities lending proposals
18 Jan 2022, 5:53 am by John Jascob
By Jay Fishman, J.D.The Better Markets organization and SIFMA stand out among the many persons commenting [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NASAA supports Ninth Circuit’s private right for tender offer shareholders
2 Apr 2019, 8:11 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/
State legislatures postpone sessions, securities regulators issue orders amid COVID-19
24 Mar 2020, 4:01 pm by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Panelists reflect on NASAA’s role in taking on Prudential at annual conference
16 Sep 2019, 7:10 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/
CFTC’s Giancarlo talks swaps with German banks in Berlin
8 May 2018, 3:38 am by John Jascob
By Jay Fishman, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/