Socially Aware

January 21, 2020 - Securities Law, Cybersecurity, IP
SEC Staff Issues Guidance on Technology, Data & IP Risks in International Operations
On December 19, 2019, the Staff of the U.S. Securities and Exchange Commission’s Division of Corporation Finance issued guidance outlining the Staff’s views about disclosure obligations that companies should consider with respect to technology, data and intellectual property risks that could arise when operations
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August 15, 2017 - Securities Law, SEC, Compliance
Hot Off the Press: Our New Guide to Social Media and the Securities Laws
Nearly all companies—whether they’re focused on the B2C market or the B2B market—have embraced social media as a way to promote their goods and services and to interact with customers and potential customers. The growing use of social media has, however, created challenges for
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May 14, 2014 - Securities Law, SEC
SEC Staff Guidance on the Use of Social Media in Securities Offerings, Tender Offers, Business Combinations and Proxy Contests
The staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social
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September 30, 2013 - Securities Law
The Guide to Social Media and the Securities Laws
REGULATION FD Beginning in 1999 and continuing into 2000, media reports about selective disclosure of material nonpublic information by issuers raised concerns that select market professionals who were privy to this information profited at the expense of others. A consensus began to emerge that
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July 14, 2013 - Securities Law, SEC, JOBS Act
Private Funds on Social Media—Proceed with Caution
When the Securities and Exchange Commission lifted the ban on general solicitation and general advertising for private offerings of securities, can marketing blitzes on Twitter and other social media sites be far behind? It is not likely that we will see hedge funds aggressively
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June 20, 2013 - Securities Law, Financial Institutions
FINRA Issues Sweep Letter Regarding Use of Social Media
FINRA, having enacted new communications rules that specifically reference electronic communications, having issued two Regulatory Notices (linked here and here ) providing guidance to the securities industry on social media, and having made social media and electronic communications exam priorities in two of the
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June 11, 2013 - Securities Law, SEC, Financial Institutions
Stop Insider Tweeting!—Feds Eye Social Media for Securities Shenanigans
Article courtesy of Morrison & Foerster’s MoFo Tech As financial institutions and investors turn to social media to instantly share snippets of news and potential clues about market trends, the FBI and SEC are monitoring such postings for evidence of insider trading and improper
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April 04, 2013 - Securities Law, SEC
SEC Offers Guidance on Use of Social Media for Public Disclosure
On April 2, 2013, the U.S. Securities and Exchange Commission (SEC) issued guidance in the form of the Report of Investigation under Section 21(a) of the Securities Exchange Act of 1934 which indicates that social media channels—such as Twitter and Facebook—could be used by
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July 10, 2012 - Securities Law, Investment Management Law, Financial Institutions
The Social Media Experiment: Challenges for Broker-Dealers and Investment Advisers
The announcement by a Wall Street firm that it plans to give its financial advisers limited access to social media websites has been viewed by many as inevitable. Morgan Stanley’s foray into the fast-changing world of social media highlights the difficulties faced by broker-dealers
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April 05, 2012 - Crowdsourcing, Securities Law, SEC, JOBS Act
The JOBS Act Opens Door for Crowdfunding Offerings
For several months, various legislative proposals that would ease regulatory and financing burdens on smaller companies have been discussed by legislators, business leaders and commentators. These proposals were brought together under the Jumpstart Our Business Startups (JOBS) Act (H.R. 3606). The JOBS Act was
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Topic Archives: Securities Law

SEC Staff Issues Guidance on Technology, Data & IP Risks in International Operations

Hot Off the Press: Our New Guide to Social Media and the Securities Laws

SEC Staff Guidance on the Use of Social Media in Securities Offerings, Tender Offers, Business Combinations and Proxy Contests

The Guide to Social Media and the Securities Laws

Private Funds on Social Media—Proceed with Caution

FINRA Issues Sweep Letter Regarding Use of Social Media

Stop Insider Tweeting!—Feds Eye Social Media for Securities Shenanigans

SEC Offers Guidance on Use of Social Media for Public Disclosure

The Social Media Experiment: Challenges for Broker-Dealers and Investment Advisers

The JOBS Act Opens Door for Crowdfunding Offerings