Understanding BBB Ratings: Building Trust and Mitigating Risks — Regulatory Oversight Podcast
Daily Compliance News: July 28, 2025, The Where is Grasshopper when you need him Edition
Podcast - Tips for Maintaining FTC Compliance When Using AI
Podcast - FTC to Focus on Deceptive AI Claims: Compliance Management Strategies
Compliance Needs are Alive and Well: FTC's Recent Enforcement Activity
PODCAST: Williams Mullen's Trending Now: An IP Podcast - NCAA Name, Image, Likeness (NIL) Update – Effects of House Settlement
Podcast - New Guidance on Complying with FTC Rule on Deceptive and Unfair Fees
(Podcast) The Briefing: When a TikTok Costs You $150,000 - Copyright Pitfalls in Influencer Marketing
The Briefing: When a TikTok Costs You $150,000 - Copyright Pitfalls in Influencer Marketing
(Podcast) The Briefing: Influencer Fail – ALO Yoga & Influencers Named in $150M Class Action Lawsuit for FTC Violations
The Briefing: Influencer Fail – ALO Yoga & Influencers Named in $150M Class Action Lawsuit for FTC Violations
LEGAL ALERT | NAD Finds Kevin Hart’s Social Media Disclosures Insufficient in Monitoring Decisions
Podcast - Looking into the Crystal Ball: The Future of Consumer Protection Law Enforcement
Brinsley Dresden and Geraint Lloyd-Taylor of Lewis Silkin on Leveraging Thought Leadership to Build Personal and Practice Brands - CMO Series Rainmakers Podcast
Episode 120: Tim Cecere, President of St. Francis College in Brooklyn – Marketing and Advertising
FTC Regulatory and Enforcement Shifts Under New Leadership
Key Takeaways from Frontlines of Ad Campaigns Gone Wrong and Critical Claim Substantiation Missteps
(Podcast) The Briefing – Creator Contract Liability When Your Platform Disappears: The TikTok Ban
The Briefing – Creator Contract Liability When Your Platform Disappears: The TikTok Ban
(Podcast) The Briefing: Navigating the Legal Risks for Brands in Social Media Marketing – Part 2 (Archive)
On July 16, TradeStation Securities, Inc., a member firm of the Financial Industry Regulatory Authority (FINRA), submitted a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA’s Department of Enforcement. This AWC...more
The Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission on November 3, 2023, to amend FINRA Rule 2210. This amendment would allow a broker-dealer to project...more
I have always found it enlightening – and a bit scary – to talk to my clients about FINRA Rule 2210, the advertising (or “communications with the public”) rule, to see what they know about it. It’s a long, dense rule, so I’m...more
Your website is an important part of your business. Chances are, you’re investing both time and money to ensure that it attracts customers and satisfies their needs so that they decide to do business with you. Now that the...more
Two facts may come as a surprise about the U.S. Securities and Exchange Commission’s existing investment adviser advertising rule: that it literally fits on one page, and that it has not been updated since 1961. These facts...more
Identifying Conflicts of Interest in Structured Products Offerings - With FINRA and other regulators focused on conflicts of interest in the broker-dealer industry, market participants are working diligently to identify...more
In this alert, we provide a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended...more
U.S. Structured Warrant Programs: Introduction - U.S. and non-U.S. banks have offered structured warrants in the U.S. to address the needs of both institutional and high-net worth investors. This article will...more
Despite a slowdown in the fines reported in 2015, the Financial Industry Regulatory Authority (FINRA) has continued to flex its enforcement muscle so far this year. During the first half of 2015, FINRA reported $37.5 million...more
In This Issue: - Key Regulators Speak at Structured Products Conference - FINRA Shows Its CARDS; It Will Use Big Data to Review Suitability of Complex Products Sales - FINRA’s Proposed Bond Mark-up...more
In this issue: - Amendments to FINRA Rule 2210 Regarding Communications With the Public - Smith & Wesson Pays $2 Million to Resolve SEC Charges - Former Chief Operating Officer Settles SEC Fraud Claims ...more