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
The staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender...more
Shortly after the Securities and Exchange Commission (SEC) adopted the final rule relaxing the prohibition against general solicitation in connection with offerings made pursuant to new Rule 506(c) and Rule 144A, we provided...more
10/3/2013
/ Accredited Investors ,
Bad Actors ,
Disqualification ,
Form D Filing ,
General Solicitation ,
Investors ,
Private Offerings ,
Regulation D ,
Rule 144A ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC) ,
Social Media
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
10/1/2013
/ Crowdfunding ,
Financial Industry Regulatory Authority (FINRA) ,
General Solicitation ,
JOBS Act ,
Private Offerings ,
Proxy Statements ,
Public Disclosure ,
Public Offerings ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Social Media
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
On April 2, 2013, the U.S. Securities and Exchange Commission (SEC) issued guidance in the form of the Report of Investigation under Section 21(a) of the Securities Exchange Act of 1934 which indicates that social media...more