Developments affecting social media usage by issuers and regulated entities

June 2020

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 webinar addresses how federal regulation of securities has evolved in the face of the growing use of social media by investors, securities issuers, broker-dealers, investment advisers and investment companies.

Specific topics that will be covered include,

  • Regulation FD and disclosing material nonpublic information;
  • Securities offering communications, non-GAAP measures, key performance indicators (KPIs), and liabilities for misstatements or omissions;
  • FINRA and social media rules applicable to broker-dealers; and
  • NFA advertising rules applicable to CPOs and other NFA regulated parties.

After this session, attendees will:

  • Understand the evolution of federal securities laws addressing social media use.
  • Understanding the implications of social media use for public companies as well as general guidelines on what to avoid when using social media.
  • Understand Regulation FD and disclosure of material nonpublic information
  • Be familiar with federal regulations of securities offering communications and key performance indicators (KPIs) and understand liabilities for misstatements or omissions.
  • Understand guidance surrounding FINRA and social media rules applicable to broker-dealers.
  • Understand NFA advertising rules applicable to CPOs and other NFA regulated parties

Watch