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New Data on Rule 506 Offerings

Crowdnetic, a provider of technology and market data solutions to the global crowdfinance marketplace, has shared with us for publication data collected through their network of intermediaries....more

Manatt Digital Media - September 2014

Welcome to Issue #1 of the Manatt Digital Media (MDM) newsletter. Initially, we will publish these monthly—and look forward to receiving your feedback, since we want this to be a conversation and bring information and...more

Compliance Matters: What the Heck Is a Robo-adviser?

Observe families at restaurants these days and you’ll see a common image – several heads bowed over individual electronic devices. Like it or not, this is how we communicate, do business and manage our lives. We all can trade...more

A Compilation of Enforcement and Non-Enforcement Actions - 04/30/14

Enforcement Matters: Improper Calculation of Client Advisory Fees Results in Enforcement Action - In a recent action (In the Matter of Transamerica Financial Advisors, Inc., Investment Advisers Act Release No....more

Privacy & Cybersecurity Update - February 2014

In This Issue: - NIST Releases Final Framework Document ..Key Changes From The Preliminary Framework ..The Framework Roadmap ..The DHS “C-Cubed” Program ..Next Steps - California Suggests Upper...more

Private Offerings: Questions that Might Frequently be Asked Sometime Soon (Part II)

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

It’s Time to Revisit Business Continuity Planning: What Works and What Does Not Work

Recently, the Securities and Exchange Commission (“SEC”) and other U.S. financial regulators (collectively, “Regulators”) issued important guidance related to the need for industry participants to maintain business continuity...more

Monsanto Further Complicates The Biotech Foods Debate

Monsanto Co. made news, and some new enemies, recently when it was discovered that the company’s experimental genetically modified wheat – planted in several states between 1998 and 2005 – was found to have escaped...more

Investment Portals Addressed in SEC Staff Guidance Under JOBS Act; No-Action Letters Also Issued

Technology has spawned the formation of new internet-based marketplaces for illiquid and restricted securities. In most instances, these markets are operated by entities registered with the U.S. Securities and Exchange...more

SEC Approves Communications Via Social Media

The Securities and Exchange Commission (“SEC”) has taken a new position that publicly traded companies may use social media to communicate information to investors, so long as investors are first advised of the communication...more

SEC Decides That Companies May Use Social Media

The Netflix Investigation - On July 3, 2012, the CEO of Netflix, Reed Hastings, used his personal Facebook page to announce that Netflix had streamed 1 billion hours of content in the month of June. As the Securities...more

SEC's Netflix Report Confirms Ability to Use Social Media for Reg. FD Disclosures but Cites Risks

In connection with a Facebook post by Netflix CEO Reed Hastings, the SEC issued a report of investigation on April 2, 2013 (Netflix Report) indicating that Regulation FD permits a company to announce material information...more

Social Media Use By Public Companies – The SEC Weighs In

The increasing presence of social media has created new avenues for companies to market to and connect with consumers, customers and investors. Many heads of industry maintain very public profiles, appearing regularly on...more

Accredited Crowdfunding, Internet Advertising And General Solicitation

The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close equivalent) used to compensate the site is not transaction based compensation. ...more

SEC Approves Social Media Announcements If Investors Are Alerted

On April 2, 2013, the Securities & Exchange Commission (SEC) announced that companies may use Facebook, Twitter and other social media sites to announce key information so long as investors have been alerted about which...more

SEC OKs Social Media Sites for Financial Disclosures

The Securities and Exchange Commission issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure...more

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

Corporate Law Report: Managing Cyber Risks, BYOD, Obama's NLRB Crisis, Iran Sanctions, and More [Video]

Our latest Corporate Law Report looks at: - top ways to manage cyber risks in the workplace; - the growing trend of employees bringing their own electronic devices (BYOD) to work; - new reporting requirements as a result...more

FFIEC Issues Proposed Guidance on Social Media Risks and Compliance

The Federal Financial Institutions Examination Council (FFIEC) released a proposed guidance regarding the applicability of consumer protection, compliance and privacy laws to social media usage by banks, credit unions, and...more

SEC's New Position on Voting Buttons Necessitates Changes to Online and Telephone Proxy Solicitation

The SEC recently informed service providers in the proxy distribution industry of a new interpretive position regarding the use of voting buttons. According to the new SEC staff position, service providers must present...more

Lessons Learned in 2012

As one calendar year ends and the next begins, it is natural to look back to take an inventory of lessons learned and to look forward in an attempt to implement such lessons. The year 2012 certainly had its fair share of...more

SEC Implements Secure E-Mail System for Submission of Draft Registration Statements

On May 11, 2012, the SEC's Division of Corporation Finance issued instructions for submitting draft registration statements confidentially under the Jumpstart Our Business Startups Act (the "JOBS Act"). As noted in our...more

Lessons For Investors From the Facebook IPO

Lessons For Investors From the Facebook IPO by Dan Brecher on May 28, 2012 Facebook highlights one of the most significant risks of pre-IPO investing—the value of the stock can go down as well as up. While Facebook’s...more

Crowdfunding

The Canadian Advanced Technology Alliance (CATA) has just launched a new campaign in support of changing Canadian securities laws to permit crowdfunding. See the news release here. Crowdfunding is the use of...more

Socially Aware: The Social Media Law Update - Vol. 2, Issue 4 - August 2011

In this issue: Crowd Control: SEC Cracks Down on Crowdfunding Venture; Using Copyright Assignments to Control Customer Reviews; A Short History of Social Media; Stir It Up: Bob Marley and Cease & Desist Letters; Two Recent...more

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