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Jay G. Baris

Jay G. Baris
Partner
New York, (212) 468-8053
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Education

  • Stony Brook University (B.A., 1975)
  • ;
  • Hofstra University School of Law (J.D., 1978)

Practices

Broker-Dealer Compliance + Regulation
Investment Management
Financial Institutions + Financial Services

Bar Admissions

  • New York
  • New Jersey
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  • MoFolder
NY Fed to Establish an Overnight Fixed-Rate Reverse Repo Facility Available to Money Market Funds and Others
The BD/IA Regulator
9/23/2013
Investment Management
Blog Post
Renewed Focus on an Old Rule: SEC Steps Up Rule 105 Enforcement Efforts
9/18/2013
Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
The Guide to Social Media and the Securities Laws
September 2013
Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Social Media
Article
SEC Delays Effectiveness of Large Trader Reporting for Some Broker-Dealers
8/15/2013
Client Alert
CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that Are Commodity Pools
8/14/2013
Investment Management
Client Alert
Federal Court Finds That Issuer Shares Purchased with Bitcoin Are Securities
8/14/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Mobile Payments
Article
Insider Trading in Mutual Funds: Do Traditional Theories Apply?
8/8/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Investment Management Legal + Regulatory Update
July 2013
7/18/2013
Investment Management
Newsletter
Private Funds on Social Media—Proceed with Caution
Socially Aware Blog
7/15/2013
Investment Management
Article
How Can Compliance Pros Avoid the SEC's Wrath?
Ignites
7/12/2013
Investment Management
Article
JOBS Act Implementation: Rule 506 Rulemaking
Teleconference
7/11/2013
Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Public Companies Counseling + Compliance
Multimedia
Goldilocks, Porridge and General Solicitation
7/10/2013
Banking + Financial Services, Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance
Client Alert
Rule 156 Proposal
MoFo Jumpstarter Blog
7/10/2013
Investment Management
Article
UK Implementation of AIFMD: FCA Notification Forms
7/10/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 10
In this issue of Structured Thoughts, we discuss FINRA’s alert concerning the purchase of structured products in order to increase returns; the IOSCO report regarding more uniform regulation and greater transparency for exchange-traded products; and FINRA’s decision to forgo its proposal to require supervision of non-securities business.
7/9/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
UK Implementation of AIFMD: UK Private Placement Regime and non-EU Fund Managers
7/2/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
SEC Proposes Floating NAV for Institutional Prime Money Market Funds
Wall Street Lawyer, Volume 17, Issue 7
July 2013
Capital Markets, Investment Management
Article
Court of Appeals Rejects Challenge to CFTC’s Rule 4.5
6/26/2013
Derivatives + Commodities, Investment Management
Client Alert
Reforming the Regulation of Money Market Funds
Lexis PSL
6/20/2013
Investment Management
Article
This article first appeared on Lexis PSL on June 20, 2013. For a free trial of Lexis PSL, please visit www.lexisnexis.com/uk/lexispsl/.
FINRA Issues Sweep Letter Regarding Use of Social Media
6/19/2013
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Social Media
Client Alert
SEC Slaps Fund Directors for Violating Fair Value Responsibilities
6/14/2013
Investment Management
Client Alert
Dodd-Frank at 3: The Snail and the Tortoise
6/7/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, Investment Management, New Products, Public Companies Counseling + Compliance, Structured Finance + Securitization
User Guide
SEC Proposes Floating NAV for Institutional Prime Money Market Funds; “Fees and Gates” for Non-Government Funds
6/5/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management
Client Alert
Now the Fun Begins: FSOC Proposes the First Three Nonbank SIFIs
6/4/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
Use of Social Media for Issuers, Broker-Dealers and Advisers, and Investment Companies
5/28/2013
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Public Companies Counseling + Compliance, Social Media
Multimedia
The European Alternative Investment Fund Managers Directive—a non-EU Fund Manager’s Perspective
5/17/2013
Capital Markets, Financial Institutions | Europe, Financial Institutions + Financial Services, Investment Management
Client Alert
Investment Management + Legal Regulatory Update
May 2013
5/15/2013
Investment Management
Newsletter
SEC Sanctions Fund Trustees for Inadequate Disclosures and Failure to Follow Compliance Policies
5/2/2013
Investment Management, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Structured Products: Investment Company Act and Investment Advisers Act Considerations
The Review of Securities & Commodities Regulation, Vol. 46 No. 7
4/3/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Structured Products
Article
SEC Adviser Exams Find Widespread Violations of Custody Rule
3/7/2013
Investment Management
Client Alert
One Step Closer to a Fiduciary Duty for Broker-Dealers?
3/5/2013
Broker-Dealer Compliance + Regulation, Investment Management
Client Alert
Frequently Asked Questions About Section 3(a)(2) Bank Note Programs
3/4/2013
User Guide
SEC Fired Warning Shot: Valuation Responsibility is Important and under Scrutiny
Fund Directions, Vol. XXII, No. 3
March 2013
Investment Management
Article
Supreme Court: Statute of Limitations in SEC Fraud Cases Begins to Run When Fraud Occurs, not When Discovered.
2/27/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers
2/22/2013
Broker-Dealer Compliance + Regulation, Investment Management
Client Alert
Investment Management Legal and Regulatory Update
February 2013
2/12/2013
Broker-Dealer Compliance + Regulation, Investment Management
Newsletter
MMF Executives Sue Independent Trustees for Fraud and Waste of Corporate Assets
1/23/2013
Investment Management
Client Alert
FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice
1/15/2013
Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Financial Services, Investment Management, Securities: Regulatory + Enforcement
Client Alert
SEC Accuses Fund Directors of Breaching Their Valuation Duties
1/2/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Mutual Funds and Exchange Traded Funds Regulation (3rd Edition), Chapter 8A, Derivatives Activities (Practicing Law Institute, 2013)
1/1/2013
Investment Management
Book
Dodd-Frank Implementation: Navigating the Road Ahead
12/20/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Newsletter
Investment Management Legal and Regulatory Update
December 2012
12/17/2012
Investment Management
Newsletter
Money Market Funds: FSOC Proposes Reforms
11/13/2012
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management
Client Alert
Investment Management Legal and Regulatory Update 
October 2012
10/22/2012
Broker-Dealer Compliance + Regulation, Investment Management
Newsletter
IOSCO Calls for More Regulation of Money Market Funds; Majority of SEC Commissioners Object
10/16/2012
Banking + Financial Services, Investment Management
Client Alert
SEC Extends Temporary Rule for Adviser Principal Trades
10/11/2012
Broker-Dealer Compliance + Regulation, Investment Management
Client Alert
Fallout from the Dodd-Frank Zone:
Lessons and Challenges for Investment Advisers
The Review of Securities & Commodities Regulation, Vol. 45, No. 16
9/26/2012
Broker-Dealer Compliance + Regulation, Investment Management
Article
Reprinted with permission.
Federal Judge Tosses Geared ETF Class Action
9/13/2012
Investment Management
Client Alert
No-Action Relief Excludes Tax Blocker Entity from Definition of Investment Company
9/12/2012
Federal Tax, Investment Management
Client Alert
Solicitation Emancipation:
Proposed Rules Relating to the Relaxation of the Prohibition on General Solicitation
8/29/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
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