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Securities Communications & Media

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

Presentation and Portability of Investment Adviser Performance

by Foley & Lardner LLP on

An investment adviser’s investment track record is an important resource when raising capital from prospective investors. However, investment advisers, particularly registered investment advisers or emerging fund managers,...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

As we’ve been expecting, the DOJ announced yesterday that it was suing to block AT&T’s $84.5 billion bid for Time Warner over antitrust concerns....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

As retailers do all they can to fight the e-commerce wave, some bricks-and-mortar shops are experimenting with a rather counterintuitive strategy: smaller spaces and a showroom-style approach....more

Investing Under the Influence? SEC Issues Warning Letters to Celebrities and Social Influencers

by Kelley Drye & Warren LLP on

Earlier this month, the Securities and Exchange Commission (SEC) issued a warning to celebrities and social influencers who use social media to encourage consumers to invest and/or purchase stocks. Recent celebrity...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Breakingviews is all about new GE CEO John Flannery’s quest for the “soul” of the company, but it’s also very interested in less philosophical matters—especially on the heels of GE halving dividends....more

Celebrity ICO Endorsements: SEC, FTC, and CFTC Oversight

by Reed Smith on

Floyd Mayweather, a world famous boxing champion, recently used his Twitter and Instagram accounts to help a company raise more than $30 million in an initial coin offering (“ICO”). Other celebrities have similarly...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

AT&T’s chief is weighing in the DOJ’s call to sell CNN in order to make its deal with Time Warner go through, and, as Randall sees it, “selling CNN makes no sense”....more

Orrick's Financial Industry Week In Review

European Commission Inception Impact Assessment on Legislative Proposal for EU Framework on Crowdfunding - On October 30, 2017, the European Commission published an inception impact assessment for a legislative proposal...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Snap’s awful Q3 be damned—Chinese tech giant Tencent has increased its stake in the company to more than 12% thanks to shares it purchased on the open market....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Breakingviews is raising an eyebrow at the news from yesterday about Broadcom’s unsolicited $105 billion offer for Qualcomm [the largest-ever proposed tech deal], especially in light of the “mountain of debt” Broadcom would...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The moral of this story is as follows: if Maysayoshi Son says the merger’s off, it’s probably off (regardless of what the rest of the board says). We discussed the will they/won’t they status of the T-Mobile/Sprint deal last...more

SEC Risk Alert Highlights Most Frequent Investment Adviser Advertising Rule Violations

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a risk alert summarizing the compliance issues most frequently identified in SEC-registered investment advisers' deficiency letters with respect to...more

Breaking Down Telia: One of the Largest FCPA Settlements and the First of the Trump Administration

The recent settlement by Telia Company AB (“Telia”), the first of the U.S. Department of Justice (“DOJ”) under the Trump administration and one of the largest FCPA enforcement actions to date, has been touted by some as a...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

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Samsung, beset by top-level resignations and a mess of bribery allegations reaching the former South Korean President and the crown prince of the family’s chaebol, has announced a new slate of execs “In an effort to bring...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Most insiders are chalking up last week’s CVS/Aetna news to a recent Amazon push into the pharma world. The Journal breaks down exactly what that means—both for the industry and for Amazon, which faces a series of challenges...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Old-school retailer Lord & Taylor has reached a deal with WeWork to sell its landmark New York flagship store for $850 million. L&T will continue on with a greatly decreased department store footprint in the space, but the...more

Investment Services Regulatory Update - October 2017

by Vedder Price on

New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...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

CSA Comment on Registrants’ Cybersecurity and Social Media Practices

The Canadian Securities Administrators (CSA) have published Staff Notice 33-321 Cyber Security and Social Media (Staff Notice 33-321), which summarizes survey results of registered firms’ cybersecurity and social media...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Lyft, armed with a fresh billion from Google’s venture investment arm (CapitalG), is looking seriously at a 2018 IPO. The CapG money raises Lyft’s valuation from $6.9 billion to more than $10 billion....more

Data Privacy + Cybersecurity Insider - October 2017 #2

by Robinson & Cole LLP on

FBI Issues Flash Alert on Apache Struts Vulnerability - The Apache Struts vulnerability has been mentioned frequently in the media over the past month, as it is believed to have been involved in one of the largest and most...more

OCIE Publishes Risk Alert on Most Frequent Advertising Rule Compliance Issues Found During Examinations

by Dechert LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert on September 14, 2017 (Risk Alert). The Risk Alert highlights...more

New SEC C&DIs on Non-GAAP Financial Measures for Business Combinations

The SEC staff has issued two new Compliance and Disclosure Interpretations, or CD&Is, on non-GAAP financial measures in the context of business combinations....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Representatives of the US’s biggest stock exchanges have questioned the SEC’s plan to change how markets work by altering the current “maker-taker” system and imposing new transparency and conflict-of-interest rules on...more

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Cybersecurity

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