Securities Regulation, Broker-Dealer, Investment Companies

Nutter Securities Enforcement Update (22-01)

Nutter McClennen & Fish LLP on 2/1/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Is my Advisor a “Finder” or a “Broker”? Avoiding the Pitfalls of Raising Capital Using Unlicensed Broker-Dealers

Foley & Lardner LLP on 7/18/2018

Companies seeking to expand operations often face numerous challenges. One such challenge is raising the capital necessary to make such an expansion possible. When a company sees an expansion opportunity but does not have the...more

The Guide to Social Media and the Securities Laws

Broker-Dealer Compliance + Regulation on 8/15/2017

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

The Guide to Social Media and the Securities Laws

Morrison & Foerster LLP - JOBS Act on 6/17/2015

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

Securities Regulation › Broker-Dealer › Investment Companies

Nutter Securities Enforcement Update (22-01)

Is my Advisor a “Finder” or a “Broker”? Avoiding the Pitfalls of Raising Capital Using Unlicensed Broker-Dealers

The Guide to Social Media and the Securities Laws

The Guide to Social Media and the Securities Laws

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