Securities Consumer Protection Communications & Media

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
News & Analysis as of

SEC Commissioners on Capital Formation

Recently, various SEC Commissioners, including Commissioner Stein and Commissioner Gallagher, have addressed issues related to capital formation in their public remarks. At a Los Angeles County Bar Association...more

Crowdfunding Disclaimers Aren’t Adequate to Avoid Liability under U.S. Securities Laws

Warning to non-United States equity crowdfunding sites: it’s not enough to warn that offerings are not being made to United States residents. Your procedures must verify that investors are not United States residents. On...more

In Case You Missed It - Interesting Items for Corporate Counsel

The SEC reminded everyone that, yes, it cares whether you timely file your Section 16 reports, by announcing enforcement actions against 28 Section 16 filers and six public companies here. Some tie the unprecedented...more

Status Updates - June 2014 #6

Debt collectors are using social media more and more frequently to try to track down people who owe money, but they are bound by restrictions in the Fair Debt Collection Practices Act when they do so, just as if they used...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

Advertising Law -- March 1, 2012

In This Issue: FCC Issues New Regs on Robocalls Lack of Magnetic Attraction Leads to False Ad Suit SEC Cautions Advisers About Risks of Social Media Google’s Privacy Changes Result...more

Approval of Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook

On January 30, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s proposed rule change to adopt a telemarketing rule in the FINRA Consolidated Rulebook. The new rule adopts...more

Does Google Need to Police Its Ads for Fraud?

Do Google and other search engines have an obligation to screen their advertisers for those who may be perpetrating consumer fraud? Google has said in the past that its AdWords Content Policy will reject advertisements for...more

8 Results
|
View per page
Page: of 1

Follow Securities Updates on: