• Site Search
  • Lawyer Search

Jay G. Baris

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

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
  • Print PDF
  • Subscribe to RSS
  • MoFolder
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
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
SEC Statement on Money Market Fund Reforms
8/24/2012
Banking + Financial Services, Financial Services, Investment Management
Client Alert
Investment Management Legal and Regulatory Update
8/17/2012
Broker-Dealer Compliance + Regulation, Investment Management
Newsletter
Socially Aware:
The Social Media Law Update - Volume 3, Issue 4
8/7/2012
Employment + Labor, Internet, Media + Entertainment, Licensing + Technology Transactions, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media
Newsletter
Dodd-Frank at 2
7/30/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Newsletter
Proposed Legislation Would Increase Investment Opportunities For Business Development Companies
7/3/2012
Capital Markets, Investment Management
Client Alert
SEC Publishes Responses to Frequently Asked Questions about Reporting by Advisers to Private Funds
6/22/2012
Financial Institutions + Financial Services, Investment Management, Private Equity Funds
Client Alert
Fairness rules
Are uniform regulatory standards for investment advisers
International Financial Law Review
June 2012
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Investment Management
Article
Reprinted with permission.
FSOC Oversight Could Be Catastrophic for Funds
Ignites
5/31/2012
Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Financial Services, Investment Management
Article
Copyright 2012, Money-Media Inc. Reprinted with Permission.
Investment Management Legal and Regulatory Update
May 2012
5/10/2012
Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Investment Management
Client Alert
Court Reinstates Summary Judgment for Adviser in Excessive Fee Case
4/5/2012
Financial Institutions + Financial Services, Investment Management
Client Alert
Market Solutions, Vol. 21, No. 1
Financial Markets Association
3/2012
Banking + Financial Services, Capital Markets, Corporate, Financial Institutions + Financial Services, Financial Services, Investment Management
Article
Reprinted with permission.
SEC Commissioner Gallagher Warns of Pitfalls of “Failure to Supervise” Liability of Legal and Compliance Personnel
3/16/2012
Investment Management
Client Alert
SEC and CFTC Propose Rules to Detect and Prevent Identity Theft
3/7/2012
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Structured Products
Client Alert
SEC On Investment Company Derivative Use
Derivatives Week, Vol. XXI, No. 8
2/27/2012
Article
SEC Raises Dollar Thresholds for Advisers to Charge Performance-Based Fees and Grandfathers Performance-Fee Contracts for Previously Unregistered Advisers
2/21/2012
Broker-Dealer Compliance + Regulation, Investment Management, Private Equity Funds
Client Alert
CFTC Tightens Commodity Pool Operator Exemption for Investment Companies
2/16/2012
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Structured Products
Client Alert
Investment Management Legal and Regulatory Update
2/9/2012
Broker-Dealer Compliance + Regulation, Investment Management
Newsletter
SEC Concept Release Tackles Investment Company Use of Derivatives
The Review of Securities & Commodities Regulation, Vol. 45, No. 3
2/8/2012
Capital Markets, Derivatives + Commodities, Investment Management, Structured Products
Article
Copyright © 2012 by RSCR Publications LLC. ISSN: 0884-2426. Reproduction in whole or in part prohibited except by permission. All rights reserved. Information has been obtained by The Review of Securities & Commodities Regulation from sources believed to be reliable. However, because of the possibility of human or mechanical error by our sources, The Review of Securities & Commodities Regulation does not guarantee the accuracy, adequacy, or completeness of any information and is not responsible for any errors or omissions, or for the results obtained from the use of such information.
SEC Clarifies Registration Obligations of Advisory Affiliates
1/25/2012
Investment Management, Private Equity Funds
Client Alert
Form PF: Systemic Risk Reporting for Private Fund Advisers
11/15/2011
Investment Management, Private Equity Funds
Client Alert
Structured Thoughts: News for the financial services community
Volume 2, Issue 13
10/5/2011
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, Investment Management, New Products, Structured Products
Newsletter
Janus and its Impact on Mutual Funds
INSIGHTS, Volume 25, Number 10
10/2011
Financial Institutions + Financial Services, Investment Management, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted from INSIGHTS, October 2011, Volume 25, Number 10, pages 14-22, with permission from Aspen Publishers, a Wolters Kluwer business, New York
Securities and Exchange Commission Tackles Fund Use of Derivatives
9/6/2011
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, New Products, Structured Products
Client Alert
New Investment Adviser Rules: Part 2
INSIGHTS
Volume 25, Number 9
9/2011
Broker-Dealer Compliance + Regulation, Corporate, Financial Institutions + Financial Services, Investment Management, Mergers + Acquisitions, Private Equity Funds
Article
Reprinted with permission.
SEC Publishes Long-Awaited Concept Release on Fund Use of Derivatives; Suggests Tighter Restrictions on REITs and ABS
9/1/2011
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, REITs, Structured Finance + Securitization, Structured Products
Client Alert
New Investment Adviser Rules: Part 1
INSIGHTS
Volume 25, Number 8
8/1/2011
Investment Management, Private Equity Funds
Article
Reprinted with permission.
SEC Proposes Rules Amending the “Qualified Client” Standard and Issues Final Order Revising Dollar Amount Tests
7/28/2011
Investment Management, Private Equity Funds
Client Alert
View All
This is MoFo.
© 1996-2013 Morrison & Foerster LLP. All rights reserved.
[ A- | A+ ]
Loading...
Loading...