Internet Regulation: Do's and Don'ts for Now

Thompson, Duane R.
June 1997
Journal of Financial Planning;Jun97, Vol. 10 Issue 3, p48
Academic Journal
This article discusses the development of the restrictions on the use of Internet for advertising and communications. In 1995, the Securities and Exchange Commission (SEC) broke regulatory ground for the first time by issuing no-action letters to a firm's electronic prospectus delivery and to a microbrewery that placed its initial public offering prospectus on its Web site. In September 1995, the National Association of Securities Dealers (NASD) also became involved through Notice to Members 95-74, which specified that electronic messages targeted to groups or individuals are included in the definition of sales literature


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