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Regulation FD And Social Media

Posted:1 year ago in Categories: Securities RegulationUnited StatesSocial MediaPrivacyReg D | Tags: SECSecurities RegulationsGuidelines | Comments: 0

On April 2, 2013, the Securities and Exchange Commission (the “SEC”) issued a report clarifying existing guidance to confirm that public companies may use social media outlets, such as Facebook and Twitter, to announce key information in compliance with Regulation FD of the Securities Exchange Act of 1934, so long as investors have been alerted in advance about which social media outlets will...

 


First Anniversary of The JOBS Act: Time to Shift Gear

Posted:1 year ago in Categories: Securities RegulationUnited StatesJOBS ActStart-ups | Tags: SECStart-upEconomyJOBS ActSecurities RegulationsUnited States | Comments: 0

In an effort to create jobs and help grow the economy, President Obama signed into law the Jump Start Our Business Act (the “JOBS Act”) on April 5, 2012.  The JOBS Act was designed to make it easier for small companies to raise equity capital.  But, over a year later, the regulations, due on January 5, 2013, have not yet...

 


The SEC’s Private Equity Enforcement Concerns

Posted:1 year ago in Categories: Securities RegulationUnited StatesPrivate Equity | Tags: SECConflicts of InterestsUnited States | Comments: 0

Speaking on January 23, 2013, to the Private Equity International Conference, Bruce Karpati, Chief of the Securities Exchange Commission (the “Commission“) Enforcement Division Asset Management Unit, addressed concerns that are likely to lead to an increase in the number of enforcement cases against private equity funds.  In 2010, the...

 


Is the SEC the biggest loser of the recent surge in rule-making?

Posted:1 year ago in Categories: Securities RegulationUnited States | Tags: SECSecurities Regulations | Comments: 0

On March 27, 2012, the House of Representatives passed the Jumpstart Our Business Startups Act (the “JOBS Act”), in the same form passed by the Senate on March 22, 2012. The JOBS Act, which was signed into law by President Obama, includes significant reforms intended to facilitate capital raising by small businesses and has profound ramifications for private companies, broker-dealers, private investment funds, the...

 


SEC releases guidance on JOBS Act and seeks comments before any rulemaking

Posted:2 years ago in Categories: Securities RegulationUnited StatesJOBS ActStart-ups | Tags: SECStart-upEconomySecuritiesJOBS Act | Comments: 0

Over the last couple of days, the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) gave some interesting information regarding the implementation and application of the Jumpstart... 

 

 

 


Temporary Short-Selling Ban in 4 European Countries

The regulators of France, Belgium, Italy and Spain announced yesterday a 15-day ban on the short-selling of certain financial stocks and derivatives linked to them, in response to particularly sharp falls in banking shares this week.  As a...

 

 


The new French net short position disclosure regime

Posted:3 years ago in Categories: Securities RegulationEuropean UnionFrance | Tags: EU marketFranceEuropean UnionSecuritiesShort | Comments: 0

As of February 1, 2011, a new permanent regime for disclosing net short positions in shares is applicable in France in anticipation of the regime to be implemented pursuant to the future European Regulation due to...

 

 


Proposed SEC rules on whistleblowers

Posted:3 years ago in Categories: Securities Regulation | Tags: WhistleblowerSECSecurities | Comments: 0

On November 3, 2010, the Securities and Exchange Commission (the “SEC”) held an open meeting on the implementation of the whistleblower provisions contained in the Dodd-Frank Wall Street Reform and...