Insider trading, cybersecurity & JOBS Act restrictions: 'The Securities Edge' February wrap-up

Here is your recap of important topics we covered in The Securities Edge blog in February. Did you miss them? Sign up now to receive future blog posts by email as soon as each is published.

JOBS Act restrictions

SEC curtails JOBS Act broker registration exemption in recent FAQs
If a capital-raising Internet portal charges a fee, it won’t qualify for the broker exemption under the JOBS Act, but it still may not need to register as a broker. Read more >>

Risks of using company stock to secure loans

When does hedging or pledging of company stock by insiders equate to bribery?
New ISS standards are another good reason publicly traded companies should implement antipledging and antihedging policies. Read more >>Cybersecurity legislation

Cybersecurity legislation continues to move forward
Forward thinking companies should try to get out ahead of potential added scrutiny by regulatory agencies and compliance requirements to avoid being pushed into them at an unreasonable pace later. Read more >>

Avoiding improper disclosure
Watch your mouth! Regulation FD’s impact on (selective) disclosure
In the wake of the SEC recommending enforcement action against Netflix and its CEO for social media postings, public companies must understand and comply with their obligations under Regulation FD. Read more >>

This publication is for general information only. It is not legal advice, and legal counsel should be contacted before any action is taken that might be influenced by this publication.

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