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Your Daily Dose of Financial News

by Robins Kaplan LLP on

The latest from the CFPB and its “Project Catalyst,” which aims to “encourage the development of innovative consumer financial products that meet regulatory requirements” [think Fintech]....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Some good news for the UK after a brutal few days for the pound? It appears that the pound’s precipitous fall has acted as a sort of “giant shock absorber” against Brexit—a release valve of sorts that has meant decreased...more

Your daily dose of financial news - The Brief – 9.27.16

by Robins Kaplan LLP on

We learned yesterday that Twitter’s shopping itself around for a buyer. It’s facing one big complication, though—the sizeable amount of stock Twitter has doled out to its employees over the years. Last year, for example,...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The New York AG may have launched a new trend this week. Using the Martin Act, he filed a settled action against the largest coal producer in the nation alleging false statements regarding the firm’s ability to project the...more

SEC – DOJ Charge Author of False Stock Tweets

by Dorsey & Whitney LLP on

“What could you arrest them for?” asked the Scottish tweeter who just made $97 total manipulating two stocks. “@dunragit are you serious? Did you read my post? It’s called securities fraud.” It would be difficult to find the...more

SEC Busts Overseas Social Media Fraud

A settled SEC enforcement action describes an alleged interesting social media fraud. Two defendants that reside in India were alleged to have been behind the fraud. According to the SEC the scheme was an online...more

The Growing Scrutiny of Social Media by U.S. Courts and Agencies

The evolution of social media in business from “occasional accessory” to “integral component” has in turn forced the law itself to evolve in an attempt to address social media’s increasing relevance. Recent developments in...more

Social Media Week Part I – Using Social Media In Your Compliance Program

by Thomas Fox on

Welcome to Part I of Social Media Week. I recently did a webinar, hosted by The Network, on the use of social media in your Foreign Corrupt Practices Act (FCPA) compliance program. The response was as great as almost any...more

SEC Publishes 11 Regulation A+ CD&Is

The SEC has published 11 Compliance and Disclosure Interpretations related to Regulation A+ — numbered 182.01 through 182.11 under Securities Act Rules. Highlights are: - Twitter is allowed for testing the waters! ...more

Tweet, Tweet: The SEC Gets Social

The SEC recently issued an investor alert to warn investors about potential fraudulent investment schemes involving popular social media sites such as Facebook, YouTube and Twitter, turning its eye towards investor fraud...more

Status Updates - July 2014 #8

..The average millennial checks his or her smartphone 45 times a day and learns about news online primarily through Facebook and Twitter, according to a new survey. Search engines and email, the “more traditional” venues,...more

SEC Explains How To Use Twitter And Absolves Issuers Of Retweets

Certain rules under the securities laws require certain communications be accompanied by legends. The length of the legend meant that Twitter could not be used because the 140 character limit would be exceeded. ...more

The IP in Twitter’s IPO

Barring any unforeseen setbacks, Wall Street is aflutter as Thursday marks the latest in social media IPOs – Twitter…and we all remember how well Facebook’s IPO went....more

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

Stop Insider Tweeting! -- Feds eye social media for securities shenanigans

by Morrison & Foerster LLP on

As financial institutions and investors turn to social media to instantly share snippets of news and potential clues about market trends, the FBI and SEC are monitoring such postings for evidence of insider trading and...more

Risk Management in Social Media

by Greentarget on

Two stories playing out today have our attention for similar reasons. Both examples relate to the influence of social media, namely Twitter, as a function of risk management....more

Be Careful What You Wish For: SEC Permits Company Disclosures Via Social Media If Regulation FD Requirements Are Met

Last week, the Securities and Exchange Commission issued a report clarifying that companies can use social media channels, such as Facebook and Twitter, to disseminate material nonpublic company information under Regulation...more

Great News! But Don’t Tweet It, Yet

by Greentarget on

The Securities and Exchange Commission gave the green light last week for companies to share material, nonpublic information with investors over social media – as long as companies disclose beforehand which specific channels...more

Safe Tweeting: SEC Provides Guidance on Social Media and Regulation FD Compliance

The SEC has provided guidance to publicly reporting companies on how to use popular social networking sites, such as Facebook and Twitter, consistent with federal securities laws. On April 2, 2013, the Securities and...more

The SEC Provides Guidance on the Use of Social Media for Public Company Disclosure

by Proskauer Rose LLP on

On April 2, 2013, the Securities and Exchange Commission issued a "report of investigation" that provides important guidance for companies that wish to use social media outlets, such as Facebook and Twitter, to publicly...more

SEC Outlines Position on FD Disclosure Using Social Media

The Securities and Exchange Commission (SEC), on April 2, 2013, outlined a new disclosure position that clarifies that public companies can use social media outlets like Facebook and Twitter to announce key information in...more

SEC Has Conditional “Like” for Social Media Disclosures by Securities Issuers—A Reason to Reevaluate Electronic Communications...

The U.S. Securities and Exchange Commission gave disclosures made through social media platforms such as Facebook and Twitter a conditional “thumbs up” in a Report of Investigation it released on April 2, 2013. Issuers of...more

SEC Approves Social Media Announcements If Investors Are Alerted

by Baker Donelson on

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 Division of Investment Management Issues Guidance on Filing Requirements for Social Media

by Dechert LLP on

The U.S. SEC’s Division of Investment Management recently released a Guidance Update (the “Update”) concerning the application of SEC filing requirements for certain fund-related communications on “real-time” interactive...more

Jaffe Sees 'A Lot' of IPOs in 2013 'Pipeline'

by Bloomberg Law on

Mar. 26 (Bloomberg) -- Marc Jaffe, co-chair of the Global Capital Markets Practice Group at Latham & Watkins LLP, talks with Bloomberg Law's Spencer Mazyck about the global outlook for the 2013 IPO market. Jaffe, in this...more

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