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Sonia R. Gioseffi

K&L Gates

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Be Careful What you Post - SEC Continues To Focus on the Use of Social Media by Investment Advisers

USA - July 17 2018 On July 10, 2018, the Securities and Exchange Commission (the “SEC”) reaffirmed the application of the securities laws to social media use...

Pablo J. Man, Michael W. McGrath, Pamela A. Grossetti, Britney E. Ryan.


Congress Acts to Expand Capital Formation Rules While Rolling Back Dodd-Frank Regulation

USA - June 19 2018 Since the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) was enacted in 2010, many Republicans have advocated for its...

Gary J. Kocher.


Transparency and Accuracy: Observations from the SEC Risk Alert on Fee and Expense Deficiencies

USA - May 1 2018 In a recent risk alert (“Risk Alert”) issued by the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations...

Michael W. McGrath, Michael A. Domanico.


FINRA Capital Acquisition Brokers Now Subject to Pay-to-Play Rules

USA - October 24 2017 The pay-to-play rules have expanded to FINRA capital acquisition brokers (“CABs”) and the investment advisers who use CABs to solicit governmental...

Eden L. Rohrer, Evan Glover.


DAO and the Art of Securities Regulation: SEC Clarifies that Digital Tokens May Be “Securities”

USA - August 1 2017 The rapid rise of distributed ledger technology and the spate of recent initial coin offerings (“ICOs”) have focused attention on whether, and in what...

Anthony R.G. Nolan, Vincente L. Martinez, Eden L. Rohrer, Robert M. Crea, Kevin White.