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Public Disclosure Broker-Dealer

TN Securities Division Urges Investors to Question Advisors

by Burr & Forman on

In a recent new release, the Tennessee Securities Division urged investors to ask tough questions of their investment advisors, and about their compensation, account arrangements and educational / regulatory history. The May...more

SEC Proposes Rules Requiring Public Disclosure of Operations and Activities of Alternative Trading Systems, Broker-Dealer...

by Bracewell LLP on

On November 18, 2015, the Securities and Exchange Commission (“SEC”) issued Release No. 34-76474 (the “Proposing Release”) in which the SEC proposed rules designed to enhance operational transparency and regulatory oversight...more

Investment Management Legal + Regulatory Update -- May 2013

by Morrison & Foerster LLP on

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

D&Os in Cyberspace: SEC Endorses Social Media for Corporate Communications with Investors

by Wilson Elser on

On April 2, 2013, the U.S. Securities and Exchange Commission (SEC) issued new guidance endorsing companies' use of social media to disclose information to investors – with certain caveats. The SEC's social media guidance was...more

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Cybersecurity

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