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Indiana Pacers Authentic Jersey

PostPosted: Tue Oct 10, 2017 8:27 am
by xinxiu24
Investor Relations And New General Solicitation Rules Brenda Hamilton
Submitted 2014-01-05 18:24:55 Investor relations also known as stock promotion involves the publication 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”. Stock Promoters use a variety of media including spam email Cheap Nike Air Max , internet and direct mail newsletters, stock websites and press releases.

While investor relations activities are not per se illegal, Stock Promoters are often the target of securities enforcement actions.

With the new rules allowing general solicitation in Rule 506(c) offerings, many investor relations firms are postioning themselves in a different role-that of publisher of information about Rule 506 offerings instead of disseminating information designed to raise a company’s public trading price.

Due to the recent changes to Rule 506 that become effective on September 23,2 013, many promoters work closely with an securities lawyer to develop an effective compliance strategy for disseminating information about private placements offerings by existing public companies and private companies in going public transactions. Most often, enforcement actions concerning dissemination of information by stock promoters arises from violations of Section17(b) and Section 5 of the Securities Act of 1933, (the “Securities Act”) and Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”).

Securities Act Section17(b).

Section17(b) is an anti-fraud statute that requires Stock Promoters as publishers of information to provide full disclosure of their compensation including:

♦ Type of compensation (securities or cash) received;

♦ If the compensation is in securities, whether the securities are restricted or unrestricted;

♦ Amount of securities or cash paid;

♦ Source of compensation (directly and indirectly) and if compensated by a third party shareholder or corporate entity, the shareholder or control persons of the entity must be identified by his or her individual name; and

♦ If a corporate entity is the publisher of the information, the control persons of the corporate entity must be disclosed.

Section 17(b) also requires that the Publisher disc