Yesterday, the SEC settled
insider trading charges against James Self and Stephen Goldfield . Self was
director of Business Development at Merck and Goldfield, Self's classmate at
the Wharton School (UPenn), was a hedge fund manager. According...
The Securities and Exchange Commission charged an Illinois-based investment adviser with offering to sell fictitious securities on LinkedIn. The SEC also issued two alerts to highlight the risks investors and advisory firms face when using social media...
Regulation Fair Disclosure (known as "Regulation FD") was
enacted in 2000 by the Securities and Exchange Commission (the "SEC") to
prohibit selective disclosure of material non-public information by the public
companies or persons...
According to a story in Investment
News , the Securities and Exchange Commission began a sweep of
investment advisers' use of social media and social networking last month.
The story has a quote from Doug Flynn, an adviser at
Flynn Zito Capital...
It's official. Social media is a risk factor. At least
according to Estee Lauder and lululemon athletica .
Over at Footnoted , Michelle Leder and her team dig
through SEC filings digging up the dirt on bad corporate behavior. They were
On this edition, Broc Romanek, editor of TheCorporateCounsel.net, CompensationStandards.com, DealLawyers.com and InvestorRelationships.com. discusses social media in the context of its value to securities professionals. He focuses on why lawyers should...
Companies in the United States and United Kingdom dealt with more litigation while regulatory investigations reached a five-year high, according to Fulbright's 9 th Annual Litigation Trends Survey .
After a one-year decline, litigation rose...