With the rise of new structured products and fixed income related internet-based platforms, issuers and their affiliated broker-dealers as well as distributors must consider a number of securities law and regulatory considerations. Among other things, we will discuss:
- Broker-dealer and investment adviser registration requirements;
- Section 11 and Section 12 liability under the Securities Act;
- Electronic media guidance;
- FINRA communications rule and social media guidance; and
- Documenting the commercial arrangements.