Category: SECActions

SEC Files Reg FD Action Based on Two Selective Disclosures

The Commission has brought few actions against issuers for selective disclosure under Reg. FD in recent years. Indeed, the last such action may have been the 2013 NetFlix proceeding. Nevertheless, the Regulation remains an important safeguard against selective disclosures, ensuring

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SEC Claims “Gifts for Donations” Offer was Sham

Offering frauds have long been a staple of the Commission’s enforcement division. These cases, which often target specific groups, also fit comfortably within the current “main street” investor focus of the division since the promoter often targeted small, unsophisticated investors.

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