On October 10, 2023, the U.S. Securities and Exchange Commission (the “SEC”) adopted amendments to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 (the...more
On February 15, 2023, the U.S. Securities and Exchange Commission (SEC) adopted rules and amendments to shorten the standard settlement cycle for transactions in most securities from two business days after the trade date...more
The U.S. Securities and Exchange Commission (the “SEC”) recently adopted amendments to the proxy rules to address proxy voting advice provided by proxy advisory firms such as Institutional Shareholder Services (“ISS”) and...more
The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper.
This Guide...more
The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper.
This Guide...more
6/17/2015
/ Broker-Dealer ,
Capital Raising ,
Crowdfunding ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Companies ,
Material Misstatements ,
Non-GAAP Financial Measures ,
Non-Public Information ,
OCIE ,
Private Offerings ,
Proxy Solicitations ,
Public Offerings ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Social Media ,
Testimonial Statements ,
Websites
REGULATION FD -
Beginning in 1999 and continuing into 2000, media reports about selective disclosure of material nonpublic information by issuers raised concerns that select market professionals who were privy to this...more
9/9/2013
/ Accredited Investors ,
Broker-Dealer ,
Crowdfunding ,
Disclosure Requirements ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
GAAP ,
Investment Adviser ,
JOBS Act ,
Material Nonpublic Information ,
Private Offerings ,
Proxy Solicitations ,
Public Offerings ,
Recordkeeping Requirements ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Third-Party Liability