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Securities Communications & Media

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

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Times explores the $27 billion in fixed-income-trading income that has seeped out of Wall Street over the past 5 years thanks to “a combination of tough regulations, new technologies, calm markets and changing customer...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

AT&T has dropped plans to sell the Mate 10—the newest smartphone from China’s Huawei Technologies—just before the partnership was to be announced. AT&T gave no reasons for its abrupt reversal, but lawmakers have recently...more

SEC Alerts On Initial Coin Offerings Are The Two Most Popular For 2017 (3 Of The Top 10 Overall)

by Goodwin on

The SEC Office of Investor Education and Advocacy recently issued a bulletin listing its 10 most popular Investor Alerts and Bulletins for 2017. Numbers 1 (Initial Coin Offerings) and 2 (Public Companies Making ICO-related...more

Investment Crowdfunding Exemptions: Understand What You Can and Cannot Do to Advertise Your Offering

by Ward and Smith, P.A. on

This article expands upon a recent overview of the securities law exemptions commonly used for investment crowdfunding campaigns. The six distinct exemptions or "paths" outlined below are the most commonly used by...more

Retail and Consumer Products Law Roundup - December 2017

The Battle Over CFPB Leadership Continues - Although the first round in the battle over leadership of the Consumer Financial Protection Bureau went to President Donald Trump’s pick for the position, the fight continues,...more

Company Abandons ICO, Agrees to Cease-and-Desist; SEC Chairman Issues ICO Warning

by Farrell Fritz, P.C. on

December 11, 2017 was a day of reckoning for entrepreneurs conducting or contemplating initial coin offerings, and for securities professionals who advise them. ...more

SEC Shuts Down Initial Coin Offering Using Blockchain for Failure to File Securities Registration Statement

by Hinshaw & Culbertson LLP on

On December 11, 2017, the SEC instituted cease-and-desist proceedings against Munchee Inc., the creator of an iPhone application that allows users to review restaurant meals, with regard to Munchee's planned initial coin...more

Crowdfunding 101

by LeClairRyan on

“Crowdfunding” offers an option to startups and small businesses to raise capital, although it is a greatly misunderstood and misused term. It refers to the pooling of money from a crowd for the funding of a project or...more

Brussels Regulatory Brief: December

by K&L Gates LLP on

On 10 November 2017, the European Union (“EU”) General Court (“GC”) rendered a judgment partially annulling the European Commission’s (“Commission”) decision fining a broker for its involvement in the Libor Yen interest rate...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Breakingviews on Broadcom’s threat to Qualcomm’s board in the form of a slate of 11 director nominees for the company it has, so far, unsuccessfully attempted to purchase....more

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

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Here’s the inside scoop on “Sheltered Harbor,” a “doomsday project” from US banks that they hope will “prevent a run on the financial system should one of them suffer a debilitating cyberattack.” The gargantuan voluntary...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

The 9th Circuit Rejects Securities Class Action Premised on Businesses’ Complaints About Yelp’s Practices

• The U.S. Court of Appeals for the 9th Circuit affirmed the dismissal of a securities fraud claim alleging that Yelp fraudulently inflated its stock price by misleading investors about its practices concerning the business...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Wells Fargo is again in federal regulators’ crosshairs. The OCC has dubbed the bank a repeat offender and is weighing a “formal enforcement action” over “improprieties in its auto-insurance and mortgage operations”....more

Celebrity Influencers Now Causing Trouble With … Investments?

The new trend in celebrity endorsements without disclosing connections or affiliations: promoting stocks and other investments, according to a Public Statement from the Securities and Exchange Commission....more

SEC And FTC Warn Celebrities Must Disclose Financial Connection For ICO Endorsements

by Ifrah PLLC on

Cryptocurrency is the latest trend to be embraced by celebrities, so much so that the federal government this month issued a warning about the possible risks involved. Both the U.S. Securities and Exchange Commission (SEC)...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Time Inc. announced yesterday that it’s sold itself as part of a roughly $3 billion all-cash transaction to Meredith Corporation. Meredith, which publishes Family Circle and Better Homes and Gardens, among other glossies, is...more

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

New TSX Rules Regarding Disclosure on Listed Issuers Websites

by Bennett Jones LLP on

On April 1, 2018, the Toronto Stock Exchange (TSX) Company Manual will be amended to include a newly adopted section 473 that addresses certain disclosure requirements related to the websites of listed issuers. Section 473 is...more

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