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Solicitation Investment

Foley Hoag LLP

Massachusetts Issues Marketing Rule Reminder

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On November 4, 2022, the U.S. Securities and Exchange Commission (the “SEC”) began enforcing its updated advertising requirements for federally registered advisers. Those rules, described in greater detail here, represented a...more

Sheppard Mullin Richter & Hampton LLP

Ninth Circuit Holds that Social Media Posts May Give Rise to “Seller” Liability Under Section 12(a)(2) of the Securities Act of...

In Pino v. Cardone Capital, LLC, 2022 U.S. App. LEXIS 35278 (9th Cir. Dec. 21, 2022), the United States Court of Appeals for the Ninth Circuit (Lynn, J.) joined with the Eleventh Circuit in holding that a person may qualify...more

Mayer Brown Free Writings + Perspectives

On point. – General Solicitation and General Advertising

Overview Rule 502(c) (“Rule 502(c)”) of the Securities Act of 1933, as amended (the “Securities Act”), prohibits an issuer from offering or selling securities by any form of general solicitation or general advertising when...more

Hogan Lovells

CFTC charges Colorado man with fraud in digital asset-linked Ponzi scheme

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The U.S. Commodity Futures Trading Commission (CFTC) has charged a man from Colorado with fraud and failing to register with it in respect of a scheme that involved Ponzi-type payments....more

Morgan Lewis

Protecting Your Investment: Insights For 2020

Morgan Lewis on

Investors and investment managers around the globe are seeing increasing rules and regulations on how they can deploy their money, how they can advertise their services, and how they have to report to regulators. ...more

Troutman Pepper

SEC Proposes to Amend Advertising and Client Solicitation Rules

Troutman Pepper on

In November 2019, the Securities and Exchange Commission released proposed amendments to Rule 206(4)-1 (Advertising Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Advertising Rule was first adopted in...more

Allen Matkins

Court Finds Film Investor's Lawsuit Targeted Defendants' Free Speech Rights

Allen Matkins on

The introductory paragraph in Ojjeh v. Brown, 2019 Cal. App. LEXIS 1304, suggests that the case may involve allegations of securities fraud...more

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