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Electronic Communications Investment Adviser Social Media

Jackson Lewis P.C.

What Companies Can Learn from FINRA’s Significant Enforcement Areas in First Half 2024

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For securities industry employers, Financial Industry Regulatory Authority (FINRA) disciplinary actions and fines can be costly. FINRA disciplinary actions in the first half of 2024 show three areas of significant regulatory...more

Carlton Fields

Regulators Hit Jackpot: Off-Channel Communications

Carlton Fields on

Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices involving the use of...more

Sheppard Mullin Richter & Hampton LLP

SEC Off-Channel Communications Sweep

Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the...more

Robinson & Cole LLP

2019 Investment Adviser Update - April 2019

Robinson & Cole LLP on

The rules and regulations governing private equity and hedge fund advisers continue to develop in response to changes in technology, particularly in the areas of social media and cybersecurity. As a result, advisers become...more

Akin Gump Strauss Hauer & Feld LLP

Additional SEC Guidance on Social Media: Division of Investment Management Q&As and Division of Corporation Finance C&DIs

The Division of Investment Management of the Securities and Exchange Commission (“SEC”) recently released IM Guidance Update No. 2014-4 to clarify the practical application of the testimonial rule for third-party commentary...more

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