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Read need-to-know updates, commentary, and analysis on Communications & Media issues written by leading professionals.

Of Touting, Tweets and Advertising

by Allen Matkins on

Last month, the Securities and Exchange Commission issued this public statement warning about touting of securities by celebrities...more

In Case You Missed It: Launch Links - November, 2017 #3

by WilmerHale on

Some interesting links we found across the web this week: What Actually Happens the Day Net Neutrality Is Repealed - In two weeks the FCC will decide if it will replace the current rules regarding “Net Neutrality.” ...more

European Commission Furthers its Initiative on Crowdfunding and Peer-to-Peer Lending Platforms

by Shearman & Sterling LLP on

The European Commission has published an Inception Impact Assessment on the possible introduction of legislation for crowdfunding and peer-to-peer lending. The Inception Impact Assessment discusses the need for the EU to...more

Northern District Of California Pares Allegations In Shareholder Suit Against Twitter

by Shearman & Sterling LLP on

On Monday, October 16, 2017, Judge Jon S. Tigar of the United States District Court for the Northern District of California granted in part and denied in part a motion to dismiss a shareholder class action alleging violations...more

Amendments to the Zambian Electronic and Postal Communications Act

by Dentons on

The Electronic and Postal Communications Act, Cap 306 (Act No. 3 of 2010) (EPOCA) came into force in June 2010. EPOCA repealed the Broadcasting Services Act, 1993 and the Tanzania Communications Act, 1993 with the aim of...more

FAQs about the FINRA Communication Rules

Understanding Financial Industry Regulatory Authority, Inc. Rule 2210, Communications with the Public - What is Rule 2210, and what does it require? - Rule 2210 governs three categories of “communications” by FINRA member...more

The Guide to Social Media and the Securities Laws

The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide...more

SEC’s Latest Cybersecurity Risk Alert Identifies Elements of Robust Policies and Procedures

by Dorsey & Whitney LLP on

On August 7, 2017 the Securities and Exchange Committee (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released yet another cybersecurity Risk Alert entitled, “Observations from Cybersecurity...more

The Data Report Episode 5: Lessons from the FTC

by Bilzin Sumberg on

The Federal Trade Commission publishes reports of enforcement actions brought against companies over data security faults. Litigation attorney Jay Ward begins the second module of The Data Report by discussing what can be...more

FINRA Permits Related Performance Information in Institutional Communications for Registered Closed-End Funds

Introduction In an interpretive guidance letter issued to a registered closed-end fund on June 9, 2017, FINRA permitted the use of “related performance information” in communications that are distributed solely to...more

Application of the U.S. Risk Retention Rules to “Indenture-Style” Cellular Tower Securizations

by Latham & Watkins LLP on

17 C.F.R. Part 246, adopted jointly by the Securities and Exchange Commission (“SEC”) and five other federal agencies in October of 2014 (the “U.S. Risk Retention Rules”), requires a sponsor of asset- backed securities...more

Five Things to Consider Before Launching a Crowdfunding Offering

by Smith Anderson on

In 2015, the Securities and Exchange Commission (SEC) adopted Regulation Crowdfunding. This created a new way for small companies to raise the capital they need to build their businesses by publicly offering investments...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 4

FINRA’s Proposed Amendments to the Corporate Financing Rules – Impact on Structured Notes - In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the “Corporate Financing Rule.” ...more

In Case You Missed It: Launch Links - April, 2017 #4

by WilmerHale on

Some interesting links we found across the web this week: Once Unicorns, Now Zombies - For entrepreneurs equating success with their startup being labeled the next “unicorn,” Fortune provides some insight as to the...more

SEC changes filing cover pages, raises thresholds for EGCs and crowdfunding

by DLA Piper on

The SEC has adopted a number of technical amendments to the Jumpstart Our Business Startups Act (the JOBS Act) to conform its existing rules and regulations to the requirements of the JOBS Act and implement statutory...more

In Case You Missed It - Interesting Items for Corporate Counsel - April 2017

by Stoel Rives LLP on

A host of things happened in the last few months regarding Conflict Minerals, although likely not much that will affect what a public company reports on its Form SD, due May 31. (Spoiler alert: The same thing companies have...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Two former senior executives of Magyar Telecom, controlled by Deutsche Telekom AG, resolved long running FCPA charges with the Commission. The charges stem from the 2011 settlements of the company with the SEC and DOJ tied to...more

SEC Settles FCPA Charges With Two Former Telecom Executives

by Dorsey & Whitney LLP on

Two former executives of Hungarian telecom firm Magyar Telecom settled FCPA charges with the SEC shortly prior to the commencement of their trial. Former CEO Elek Straub, and former Director of Central Strategic Organization...more

Compensation to Newsletter Writers Must Be Disclosed

by Dorsey & Whitney LLP on

On April 10, 2017, the SEC’s Division of Enforcement brought enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes. These actions arose when public companies, through promoters...more

SEC Files Enforcement Actions Against Multiple Defendants In "Trolling-Type" Scheme To Generate False Publicity For Certain...

by Shearman & Sterling LLP on

On April 10, 2017, the Securities and Exchange Commission (”SEC”) announced fourteen enforcement actions, charging 28 businesses and individuals in connection with alleged schemes to pay writers to generate “bullish” articles...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

In a holiday shortened week the Commission began preparation for argument before the Supreme Court in an action which could have a significant impact on its enforcement program. The question for resolution is whether the...more

Utah District Court Limits Reach Of Morrison By Holding That Section 10(b) Of The Exchange Act And Section 17(a) Of The Securities...

by Shearman & Sterling LLP on

On March 28, 2017, the U.S. District Court for the District of Utah granted the Securities and Exchange Commission’s (“SEC”) motion for a preliminary injunction in a securities fraud case against Traffic Monsoon, LLC, an...more

Canadian Securities Administrators provide guidance on use of social media by reporting companies

by Dentons on

The rule of timely disclosure in Canada is, in essence, that a reporting (public) company must make significant information about itself available to the investing public on a timely and equal basis. The primary resultant...more

CSA Reviews Use of Social Media by Reporting Issuers

by Bennett Jones LLP on

On March 9, 2017, the Canadian Securities Administrators (CSA) published Staff Notice 51-348 Staff’s Review of Social Media Used by Reporting Issuers (notice). The notice provides the results of the CSA’s review of social...more

Fore Warned: Fifth Circuit Sticks to its Guns

by Ervin Cohen & Jessup LLP on

A prior prior Ask the Receiver® discussed the Fifth Circuit case Janvey v. The Golf Channel, Inc., 780 F. 3d 641 (5th Cir. 2015) (“Golf Channel I”). There the court found The Golf Channel liable to return $6,000,000 paid to...more

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