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Securities Newsletter

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In this edition, we discuss issues investors should consider before succumbing to hype about certain investments they see on social media platforms. We provide an Investor alert from the SEC about this as well as a link to an NPR Planet Money podcast explaining the recent GameStop "short squeeze." We also inform NC attorneys about our free CLE program. We include another SEC investor alert warning people about how the isolation of the elderly during the COVID-19 pandemic has led to an increase in the number of investment scams. We include a link to the NC Secretary of State Securities Division's latest Informed Investor Alert about protecting one's online accounts. We include a notice that AARP North Carolina is conducting a Facebook Live event at 10:00 am on March 1 with Secretary of State Elaine Marshall and Attorney General Josh Stein. They will be discussing fraud prevention. Details are included. In our Cybersecurity Corner, we feature FINRA's 2021 Risk Monitoring and Examination Activities Report, which addresses 18 regulatory areas, including cybersecurity for member firms to be mindful of. Finally, we include our regular News from the Regulators and Enforcement News sections.l
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