Division of investment management issues guidance on filing requirements of communications made in social media *

USA - April 15 2013
On March 15, 2013, the SEC's Division of Investment Management (the "division") issued guidance on the filing requirements for electronic…

Co-authors: Danielle C. Price, Michael George Taylor.

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SEC issues guidance on the use of social media to disclose company information *

USA - April 15 2013
On April 2, 2013, the SEC provided guidance on the use of social media to disclose company information in a Report of Investigation under Section…

Co-authors: Danielle C. Price, Michael George Taylor.

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SEC gets five years to seek civil penalties for fraud *

USA - March 18 2013
On February 27, 2013, the U.S. Supreme Court decided that if the SEC wants to bring civil penalties against an investment adviser for fraud, there is…

Co-authors: Danielle C. Price, Michael George Taylor.

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SEC announces 2013 examination priorities *

USA - March 4 2013
On February 21, 2013, the National Examination Program in the SEC's Office of Compliance Inspections and Examinations released its examination…

Co-authors: Danielle C. Price, Michael George Taylor.

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FINRA answers frequently asked questions regarding public offerings *

USA - February 11 2013
On February 2, 2013, FINRA released answers to frequently asked questions (FAQs) regarding rules for making public offerings. The topics discussed…

Co-authors: Danielle C. Price, Michael George Taylor.

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