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Carlton Fields

Expect Focus - Volume IlI, September 2024

Carlton Fields on

Gone With the Wind? Closed-End Funds Risk Extinction - Shares of SEC-registered closed-end funds (CEFs) have long held significant potential advantages for some investors. For example, unlike shares of mutual funds...more

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

Wilson Sonsini Goodrich & Rosati

Five Issues for Wealthtech Companies to Consider Under the U.S. Securities Laws

Wilson Sonsini Goodrich & Rosati on

Companies in the growing “wealthtech” space often face novel regulatory and legal issues under the federal securities laws. Wealthtech companies blend traditional asset management and brokerage services with new technologies:...more

Faegre Drinker Biddle & Reath LLP

Hiring Social Media Influencers? How You Influence Matters

Faegre Drinker Biddle & Reath LLP on

FINRA, as part of its targeted exam of member firms’ social media practices for gaining new customers, recently announced an $850,000 fine against M1 Finance LLC (“M1 Finance”) stemming from promotional social media posts...more

Mayer Brown Free Writings + Perspectives

The Social Media Guide: Social Media Compliance for Issuers, Broker-Dealers, & Investment Advisers

Mayer Brown Free Writings + Perspectives on

The use of social media raises securities law and compliance challenges for issuers, broker-dealers, and investment advisers. This Compliance Guide summarizes briefly some key principles. ...more

Broker-Dealer Compliance + Regulation

The Guide to Social Media and the Securities Laws

Broker-Dealer Compliance + Regulation on

The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide...more

Morrison & Foerster LLP - JOBS Act

The Guide to Social Media and the Securities Laws

Morrison & Foerster LLP - JOBS Act on

The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide...more

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