‘Enforcement 40’ for 2020
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By Securities Docket on March 5, 2021, 6:59 pm
According to the SEC’s complaint, AT&T learned in March 2016 that a steeper-than-expected decline in its first quarter smartphone sales would cause AT&T’s revenue to fall short of analysts’ estimates for the quarter. The complaint alleges that to avoid falling short of the consensus revenue estimate for the third consecutive quarter, AT&T Investor Relations executives Christopher Womack, […]
By Securities Docket on September 9, 2019, 8:17 am
The SEC’s August Reg FD case may not signal a return to the commission putting on its “amateur psychologist hats,” but a resurgence of Reg FD cases could resurrect fears of “chilling effects” on public disclosure and a re-examination of the constitutionality of Reg FD. via Should SEC Resurrect Broad Punishments for Companies That Talk […]
By Securities Docket on August 21, 2019, 10:17 am
The Securities and Exchange Commission today charged TherapeuticsMD Inc., a pharmaceutical company headquartered in Boca Raton, Florida, with violations of Regulation FD based on its sharing of material, nonpublic information with sell-side research analysts without also disclosing the same information to the public. The SEC’s order finds that on two separate occasions in 2017, TherapeuticsMD […]
By Securities Docket on September 28, 2015, 11:29 am
P&G says it is careful not to reveal market-sensitive information to investors and analysts who get special access to the company. For the past 15 years, selective disclosure by companies has been illegal under U.S. securities rules. Yet the same rules explicitly allow private meetings like those by P&G. The result is a booming back […]
By Securities Docket on December 7, 2012, 1:53 pm
SEC reportedly believes information on Facebook page was material and subject to Regulation FD.
By Securities Docket on September 15, 2011, 12:09 pm
WebMediaBrands Inc.’s CEO is redefining how corporate executives communicate with investors.
By Securities Docket on August 24, 2011, 1:08 pm
Are investors still able to exploit selective access to management, despite Reg FD?
By Securities Docket on May 12, 2011, 1:05 pm
Applying the SEC’s the SEC’s 2008 Reg FD framework to Twitter.
By Amanda Harding on April 21, 2010, 3:34 pm
Google will make financial disclosures exclusively on this “recognized channel.”