Communications & Media Securities

Read need-to-know updates, commentary, and analysis on Communications & Media issues written by leading professionals.
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Your daily dose of financial news

US banks made a strong showing in part 2 of the latest round of the Fed’s stress tests. Only Morgan Stanley didn’t pass unconditionally (concerns over the company’s “internal controls and processes” tripped it up), while the...more

Tesla, SolarCity and Social Media

Tesla, in an offer to acquire SolarCity, appears to be the first to announce a major proposed acquisition by a blog post. Since an 8-K was also filed, it can’t be sole proof that social media is a recognized distribution...more

In Case You Missed It: Launch Links - June 2016 #2

Some interesting links we found across the web this week: Zuckerberg’s Venture to Invest in Startup Andela - Topping the fundraising news this week is Mark Zuckerberg’s investment in Andela, a highly selective...more

Court Rejects Regulation A+ Challenge

The States of Montana and Massachusetts had previously challenged Regulation A+’s preemption of state securities registration and qualification requirements in Tier-2 offerings. The United States Court of Appeals for the...more

Amendment to the Development of Telecom Services and Networks Support Act in Poland

On June 9, 2016, the Lower House of the Polish Parliament passed the Development of Telecom Services and Networks Support and Other Amendments Act, known as “Mega-Act Amendment”....more

Final MNvest Rules Adopted

On June 13, the final administrative rules implementing the MNvest intra-state crowdfunding exemption were adopted. The MNvest Rules were first proposed back in November of 2015. Yesterday's publication in the Minnesota...more

UK Financial Regulatory Developments - June 2016 #6

Up next from FCA - The latest edition of FCA’s Policy Development Update provides information and links to publications issued since the last edition, recent Handbook developments and an updated timetable for forthcoming...more

This Week in FCPA-Epiode 8 [Video]

In this episode, Jay Rosen and I discuss the declinations received by Nortek and Akamai in their FCPA enforcement actions...more

Regulation Crowdfunding: What You Need to Know

Regulation Crowdfunding, new rules promulgated by the SEC to assist small issuers in raising capital, became effective May 16, 2016. To assist issuers in their crowdfunding efforts, the SEC has issued the "Regulation...more

Your daily dose of financial news The Brief – 6.8.16

Despite Tribune Publishing’s (wait, wait, is that tronc now?) best efforts to play defense, Gannett is not backing down from its unsolicited offer to acquire the publisher...more

CFTC Asserts Broader Jurisdiction over Digital Asset Exchanges, Levies $75,000 Fine

The CFTC’s recent enforcement against Bitfinex’s financed trading activities demonstrates the Commission’s increasing interest in virtual currency and digital assets. The U.S. Commodity Futures Trading Commission (CFTC)...more

Considering Regulation Crowdfunding’s Advertising Restrictions

Robb Mandelbaum has a nice piece up at Forbes that digs into the advertising limitations that are imposed by Regulation Crowdfunding. The whole piece is worth a read, and it sparked reactions in me in a couple of spots....more

SEC Issues C&DIs and Small Entity Compliance Guides for Crowdfunding

On May 13, 2016, the SEC issued new Compliance and Disclosure Interpretations (“C&DIs”) on Rules 100 (Crowdfunding Exemption and Requirements), 201 (Disclosure Requirements), 204 (Advertising) and 205 (Promoter Compensation)...more

Your daily dose of financial news The Brief – 5.26.16

The SEC has opened an inquiry into Alibaba’s accounting related to affiliated companies and related-party transactions, a big deal for a company “long seen as a symbol of China’s growing technological might”...more

Your daily dose of financial news The Brief – 5.20.16

Manhattan USA Preet Bharara’s back in front of the cameras and back on the insider-trading horse with the announcement yesterday of criminal charges against well-known sports bettor Billy Walters and former investment banker...more

U.S. Treasury Department Issues White Paper on Online Marketplace Lending Industry

On May 10, 2016, the Department of the Treasury issued a white paper on online marketplace lending that maps the current market landscape, reviews industry insights and offers policy proposals for the road ahead. Based on...more

NASAA Releases Proposed Model Rule for Crowdfunded Offerings

On May 16, 2016, the North American Securities Administrators Association (NASAA) released for public comment its proposed model rule and uniform notice filing form for crowdfunded offerings. ...more

FCPA Compliance and Ethics Report-Episode 254 use of social media in a best practices compliance program [Video]

In this episode I consider how to use the tools of social media in a compliance program. I discuss how CCO Louis Sapirman at Dun and Bradstreet has incorporated the tools of social media into his company's compliance efforts....more

Supreme Court Issues Two Decisions That Limit Access to Federal Courts

On May 16, 2016, the United States Supreme Court handed down two decisions that may, in practice, limit the ability to access federal district courts. In Spokeo, Inc. v. Robins, No. 13-1339, 578 U.S. ___ (2016), the Supreme...more

Your daily dose of financial news The Brief – 5.18.16

Lending Club week continues here on the Brief, where the Deal Professor tries to take the good (disrupting the traditional banking system and opening up new paths of credit for consumers) with the bad (yet another...more

FCPA Compliance and Ethics Report-Episode 253-Loren Steffy reflects on the Enron, the trials of Ken Lay and Jeff Skilling and... [Video]

In this episode, I visit with Loren Steffy who covered the Enron trial for the Houston Chronicle. He reflects on the lasting impact of the Enron scandal and how it continues to resonate today. ...more

New Crowdfunding Rules Present Challenges and Opportunity

On May 16th, the U. S. Securities and Exchange Commission’s long-awaited rules known as “Regulation Crowdfunding” take effect, providing a revolutionary method for emerging companies to raise capital. The SEC’s adopting...more

May 16th: Title III Crowdfunding Effective Date

In time for the effective date of Regulation Crowdfunding, FINRA has issued an investor alert and a press release....more

Crowdfunding Begins With 17 Issuers

Monday May 16, 2016 was the first day JOBS Act Title III crowdfunding could be used. Below are links to some portals and other information....more

Regulation Crowdfunding Takes Effect

In Depth - On May 16, 2016, the final rules adopted by the Securities and Exchange Commission (SEC) with respect to Title III of the Jumpstart Our Business Startups Act (JOBS Act) took effect (except for certain forms...more

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