Jay G. Baris

Jay G. Baris

Morrison & Foerster LLP

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Division of Investment Management: References by Advisers to Public Commentary on Social Media Sites Don’t Invoke “Testimonial...

Acknowledging the growing demand by consumers for information through social media, the Division of Investment Management set some ground rules on how investment advisers can use social media and publish advertisements that...more

4/7/2014 - Investment Adviser Social Media

New Regulatory Guidance on Use of Social Media by Investment Advisers

Acknowledging the growing demand by consumers for information through social media, the Division of Investment Management set some ground rules on how investment advisers can use social media and publish advertisements...more

4/7/2014 - Compliance Investment Adviser Social Media

The Guide to Social Media and the Securities Laws

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 FINRA General Solicitation JOBS Act Private Offerings Proxy Statements Public Disclosure Public Offerings Regulation FD SEC Social Media

The Guide to Social Media and the Securities Laws

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 FINRA GAAP Investment Adviser Issuers JOBS Act Material Nonpublic Information Private Offerings Proxy Solicitations Public Offerings Recordkeeping Requirements Regulation FD SEC Social Media Third-Party Liability

Investment Management Legal + Regulatory Update -- July 2013

In This Issue: Regulatory Updates - SEC Proposes Money Market Reform; SEC Eases Ban on General Solicitation and General Advertising in Certain Private Placements; SEC and CFTC Adopt Joint Rules to Address...more

7/19/2013 - Broker-Dealer CFTC Disclosure Requirements FSOC General Solicitation Identity Theft Insider Trading Investment Funds JOBS Act Marketing Money Laundering Money Market Funds New Legislation New Regulations Nonbank Firms NYSE Private Placements SEC Social Media Tax Reform Whistleblowers

Private Funds on Social Media—Proceed with Caution

When the Securities and Exchange Commission lifted the ban on general solicitation and general advertising for private offerings of securities, can marketing blitzes on Twitter and other social media sites be far behind?...more

7/16/2013 - General Solicitation JOBS Act Private Funds Private Placements Regulation D Rule 144A Rule 506 Offerings SEC Securities Social Media Twitter

Investment Management Legal + Regulatory Update -- May 2013

In This Issue: Regulatory Updates - SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in...more

5/17/2013 - Broker-Dealer Custody Rule ETFs Federal Reserve Final Rules Investment Management Nonbank Firms Pensions Public Disclosure SEC Social Media Startups

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