Jay Baris is the chair of the Investment Management practice. He represents investment companies, broker-dealers, investment advisers and other financial institutions in the full spectrum of financial services regulation. He helps clients develop new financial products that cross over banking, commodities, insurance and securities law. Mr. Baris counsels independent directors in governance issues. He also advises mutual funds and investment advisers in mergers and acquisitions, reorganizations, compliance, exemptive applications and innovative regulatory issues.
Mr. Baris served as Chairman of the Subcommittee on Investment Companies and Investment Advisers from 2003-2009, and currently serves as Vice Chair. The Subcommittee is part of the American Bar Association's Section of Business Law Committee on Federal Regulation of Securities.
Mr. Baris also serves as a member of the Board of Advisors of The Review of Securities & Commodities Regulation, as Chair of the Task Force on Investment Company Use of Derivatives and Leverage of the American Bar Association, Section of Business Law, Committee on Federal Regulation of Securities, and as a member of the ABA Task Force on Shareholder Access.
An active speaker and writer on issues concerning investment management and the regulation of financial institutions, Mr. Baris has been published in a variety of trade and general interest publications including The New York Times, The Wall Street Journal, The Washington Post, The Review of Securities & Commodities Regulation, Fund Action, the Review of Banking & Financial Services, and USA Today Magazine.
Mr. Baris was a member of Phi Beta Kappa during his time at the State University of New York at Stony Brook.
Stony Brook University (B.A., 1975);
Hofstra University School of Law (J.D., 1978)
Broker-Dealer Compliance + Regulation
Financial Institutions + Financial Services