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Investment Adviser › Financial Services Industry › Influencers

Carlton Fields

FINRA and SEC Float Concerns Over Social Media Finfluencers

Carlton Fields on

Social media marketing is an important form of advertising in our digital world, particularly with a target audience of younger investors. This has caught the eye of FINRA and the SEC....more

Mayer Brown Free Writings + Perspectives

SEC’s Upcoming Investor Advisory Committee Meeting: Finfluencers and AI

Mayer Brown Free Writings + Perspectives on

The Securities and Exchange Commission announced an upcoming meeting of its Investor Advisory Committee, which will be held on June 6, 2024.  The agenda includes a number of interesting topics....more

Wilson Sonsini Goodrich & Rosati

Fintech in Brief: SEC Action Highlights Questions Related to the Use of Influencers and Index Providers by Investment Advisers

Wilson Sonsini Goodrich & Rosati on

A recent settlement announced by the U.S. Securities and Exchange Commission (SEC) highlights the risks of using social media influencers when marketing investments. It also underscores recent SEC scrutiny on the use of index...more

Goodwin

SEC Publishes Sample Climate Change Comment Letter

Goodwin on

In This Issue. The U.S. Securities and Exchange Commission (SEC) published a sample comment letter on climate change disclosures; the Financial Industry Regulatory Authority (FINRA) is conducting a review of brokerage firm...more

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