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Social Media › Investment Advisers Act of 1940

Follow this channel for insights at the intersection of social media and the law, covering a wide array of issues from employer liability to privacy, from advertising rules to IP matters, and... more +
Follow this channel for insights at the intersection of social media and the law, covering a wide array of issues from employer liability to privacy, from advertising rules to IP matters, and more. Like this! less -
Dechert LLP

Recent New York Legislation Highlights Tension Between Employee Privacy and Regulatory Compliance for Broker-Dealers and Advisers

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As of today, March 12, 2024, a New York state statute, in certain circumstances, restricts employers “from requesting or requiring that an employee or applicant disclose any . . . means for accessing a personal account...more

Seward & Kissel LLP

SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF

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Who may be interested: Investment Advisers; Registered Investment Companies; Boards of Directors - Quick Take: The SEC recently settled charges with an investment adviser relating to the adviser’s alleged failure to...more

Morgan Lewis - Tech & Sourcing

Global Financial Regulators Turn Their Attention to Social Media ‘Finfluencers’

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Financial regulators in the United Kingdom, European Union, and United States are proposing new rules to regulate how financial products are promoted on social media platforms. There is a particular focus on financial...more

Bracewell LLP

FINRA Facts and Trends: May 2023

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more

Patterson Belknap Webb & Tyler LLP

Texting Clients and Using Social Media? SEC Issues Compliance Reminder to Investment Advisers

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Investment advisers may want to think twice before texting clients any advice in the New Year. In a recently issued Risk Alert, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and...more

K&L Gates LLP

Be Careful What you Post - SEC Continues To Focus on the Use of Social Media by Investment Advisers

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On July 10, 2018, the Securities and Exchange Commission (the “SEC”) reaffirmed the application of the securities laws to social media use. Specifically, the SEC published five settlement orders (the “Settlements”) arising...more

A&O Shearman

FINRA Releases New Guidance Regarding Social Media and Digital Communications

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On April 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 17–18, Social Media and Digital Communications (the “Regulatory Notice”), addressing certain frequently asked questions...more

Dechert LLP

SEC Amends Form ADV and Investment Adviser Recordkeeping Rules

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The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule), as well as technical amendments to other rules under the Investment Advisers Act of 1940...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

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Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Dechert LLP

SEC Proposes to Amend Form ADV and Investment Adviser Recordkeeping Rules

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The U.S. Securities and Exchange Commission (SEC or Commission) recently proposed amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule) and other rules under the Investment Advisers Act of 1940, as amended (Advisers...more

Dechert LLP

SEC Issues Guidance Update on Social Media Commentary in Investment Adviser Advertising

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The staff of the Division of Investment Management (Staff) of the Securities and Exchange Commission (SEC) has issued an IM Guidance Update (Guidance Update) on the use of social media in investment adviser advertising. The...more

K&L Gates LLP

SEC Staff Addresses Third-Party Endorsements of Investment Advisers on Social Media Websites

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On March 28, 2014, the Division of Investment Management of the Securities and Exchange Commission (“SEC”) published an IM Guidance Update that removes a great deal of uncertainty regarding social media use by investment...more

Baker Donelson

SEC Division of Investment Management Provides Guidance on the Testimonial Rule and Social Media

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The Division of Investment Management (the Division) of the Securities and Exchange Commission recently issued guidance (the Guidance) to investment advisers regarding the applicability to social media of Rule 206(4)-1(a)(1)...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

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ESMA Reports on Information that Competent Authorities Should Provide to it Under the AIFMD - The European Securities and Markets Authority (ESMA), has published a final report of technical advice for the European...more

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