Topic
Disclosure
830 published works
Ad Law Access
FTC Closes an Investigation Regarding Bloggers’ Failure to Disclose Gifts
In previous posts, we noted that the FTC's new Guides Concerning the Use of Endorsements and Testimonials in Advertising contain numerous provisions that apply to messages in social media, such…
The Faculty Lounge
The Goldman Complaint
Well, the SEC complaint against Goldman Sachs has thwarted my resolve to refrain from blogging until classes end in a few days in the hopes of actually getting some work…
Securities Law Prof Blog
FINRA Warns About Misleading Disclosure in Bond Funds
FINRA reportedly has sent letters to broker-dealer affiliates of bond funds that it is getting tough on the use of weighted-average bond ratings that have not been assessed by credit…
The D&O Diary
Outside Director Exposure for Disclosure Violations
From time to time, the SEC reiterates its view of the critical role companies’ outside directors play in safeguarding investors’ interests. Nevertheless, it has been relatively rare for SEC to…
Securities Law Prof Blog
SEC Proposes New Rules for Asset-Backed Securities
The SEC has proposed significant revisions to the rules regarding the offering process, disclosure and reporting for asset-backed securities. The proposal would: revise filing deadlines for ABS offerings to provide investors with more…
TortsProf Blog
NEJM Article on Disclosure and Offer Programs
Michelle Mello and Thomas Gallagher have published an interesting piece in the NEJM. They cover several models of disclosure and offer programs, discussing the advantages and disadvantages. In particular, they…
Federal Securities Law Source
SEC Issues Small Entity Compliance Guide
The Securities and Exchange Commission has issued a small entity compliance guide to help small companies comply with new proxy statement disclosure rules effective February 28, 2010 requiring information about…
Securities Law Prof Blog
Franco on Mutual Fund Disclosure
A Consumer Protection Approach to Mutual Fund Disclosure and the Limits of Simplification, by Joseph A. Franco, Suffolk University Law School, was recently posted on SSRN. Here is the abstract:The…
Securities Law Prof Blog
Griffin et alia on Regulation FD
Regulation Fair Disclosure: An Analysis of SEC Enforcement Actions, by Paul A. Griffin, University of California, Davis - Graduate School of Management, David H. Lont, University of Otago - Department…
Nonprofit Law Prof Blog
Legislative Proposals in Response to Citizens United
A New York Times article published last week detailed the anxieties felt by some Democrats over the extent to which the Supreme Court's decision in Citzens United v. Federal Election…