Jay G Baris

Practice Areas

JAY BARIS is a partner in the Investment Funds group and has practiced in the asset management area for more than 40 years. Jay is widely recognized for his breadth of experience representing registered funds, investment advisers, financial institutions, broker-dealers, and independent directors on the full spectrum of financial services regulation, transactions, and governance matters. Jay’s work with registered funds includes mutual funds, closed-end funds, exchange-traded funds, and business development companies. He advises clients on the regulatory aspects of fund and investment advisory operations and structuring innovative new products. He has represented numerous clients on mergers and acquisitions, reorganizations, exemptive applications, compliance and enforcement issues. He also advises operating companies on “status” issues that arise under the Investment Company Act of 1940. He advises FinTech clients on how the federal securities laws apply to digital assets and cryptocurrencies.

An active speaker and writer on issues concerning investment management and the regulation of financial institutions, Jay has been published in a variety of trade and general interest publications, including Insights: The Corporate & Securities Law Advisor, The New York Times, The Wall Street Journal, Financial Times, Wolters Kluwer, The Review of Securities & Commodities Regulation, Fund Action, The Review of Banking & Financial Services, Board IQ Fund Directions, and Fund Board Views. Jay is an adjunct professor of law at Brooklyn Law School, and chairs the Task Force on Blockchains, Cryptocurrencies and Investment Management of the Federal Securities Regulation Committee of the American Bar Association’s Business Law Section. Jay hosts “Mutual Fund Minute,” a series of podcast-style audio insights addressing issues of interest to fund directors and advisers.