Investor Relations: SEC and FCC Requirements
Understanding SEC and FCC Requirements for Investor Relations is essential for public companies and Investor Relations firms to maintain transparent, compliant communication with investors and the public. Navigating these regulations ensures that financial disclosures, corporate announcements, and communications adhere to federal standards, helping to build trust and avoid potential enforcement actions.
Investor relations or stock promotion involves disseminating information about a public company to increase its stock price and/or trading volume. The person who publishes this information is sometimes referred to as a “Stock Promoter”, “ Investor Re…
Read MorePromotional activity has long been part of investor relations for smaller public companies. However, on the OTC Markets , stock promotion presents heightened regulatory risk because it can easily cross into manipulative or misleading activity. To pro…
Read MoreInvestor relations or stock promotion involves the dissemination of information about a public company to increase its stock price and trading volume. The person who publishes this information is sometimes referred to as a “Stock Promoter”. A Stock P…
Read MoreIn the age of social media, financial influencers, or “finfluencers,” have become powerful voices in shaping investment decisions. With large followings on platforms like TikTok , Instagram , YouTube , and X , finfluencers offer financial advice, pro…
Read MoreSection 17(b) of the Securities Act of 1933 requires anyone who advertises a stock, even if he does not purport to offer the security for sale to disclose the “consideration received or to be received, directly or indirectly, from an issuer, underwri…
Read MoreIf you use email in your business, you should be aware of the requirements of the CAN-SPAM Act (“CAN-SPAM”). For years, issuers have hired promoters who use used spam investor relations materials to increase their stock price. Many businesses includi…
Read MoreBelow are additional resources for readers interested in exploring the do’s and don’ts of investor relations to avoid regulatory issues.
