Securities

Recent Posts

Advice for Young Lawyers
Posted on 3 Sep 2010 by Brian JM Quinn

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... Read More

Charges Brought in Social Media Scam
Posted on 5 Jan 2012 by Doug Cornelius

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... Read More

What is Regulation FD and Does it Prohibit the Use of Social Media?
Posted on 24 Apr 2013 by Arina Shulga

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... Read More

The SEC is Looking at Advisers’ Use of Social Media
Posted on 22 Feb 2011 by Doug Cornelius

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... Read More

Social Media as a Form 10-K Risk Factor
Posted on 26 Aug 2010 by Doug Cornelius

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 digging... Read More

Broc Romanek on Securities Professionals and Social Media
Posted on 16 Nov 2011 by LexisNexis Legal Business Community Staff

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... Read More

Fulbright's 9th Annual Litigation Trends Survey: Litigation Bounces Back; Regulation Hits High
Posted on 26 Feb 2013 by Norton Rose Fulbright

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... Read More