Sophia Harmelin

Troutman Pepper Locke

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FINRA’s Crackdown on Firms’ Use of Social Media Influencers Continues

The Financial Industry Regulation Authority’s (FINRA) Enforcement Division recently announced a resolution to a nearly two-and-a-half-year investigation in which TradeZero America, Inc. (TradeZero) agreed to pay a fine of...more

7/3/2024 / Content Marketing , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Influencers , Social Media , Statutory Violations , Trading Platforms

FINRA’s First Disciplinary Action Targeting Firm’s Use of Social Media Influencers

The Financial Industry Regulatory Authority’s (FINRA) Enforcement Division recently announced its first settlement involving a firm’s supervision of social media influencers. The respondent, M1 Finance LLC (M1), is a...more

4/17/2024 / Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Influencers , Investment Opportunities , Misleading Statements , Mobile Apps , Online Advertisements , Retail Investors , Settlement , Social Media

The SEC Voluntarily Stays Climate-Related Disclosure Rules Pending Eighth Circuit Judicial Review

On April 4, the Securities and Exchange Commission (SEC) issued a stay on the implementation of its newly enacted climate impact disclosure rules. This decision is connected to a challenge to the rules currently pending in...more

4/11/2024 / Climate Change , Disclosure Requirements , Greenhouse Gas Emissions , Judicial Review , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Stays

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