Searching Content indexed under Securities by Duane Morris LLP ordered by Published Date Descending.
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Brokers And Investment Advisors: In Your Best Interest?
You invest in public securities, sometimes through your investment advisor, sometimes through your stock broker. The legal obligations each historically owed to you were different.
United States
25 Sep 2019
Lawsuit Seeks Exemption From Broker Registration For Private Placement Finders
A few months ago, a real estate company brought an action against the Securities and Exchange Commission, and apparently the SEC now has been served
United States
12 Aug 2019
Capital Markets - How The CPTPP, EVFTA/IPA Can Effect Morgan Stanley's 2020 Rating
One of the significant events Vietnam was hoping to occur this June unfortunately did not transpire—being on the Morgan Stanley Capital International (MSCI) watch list for emerging markets.
22 Jul 2019
Nasdaq To Limit Reg A+ To Seasoned Companies
Last month, the Nasdaq quietly submitted a proposal to the SEC regarding Regulation A+.
United States
30 May 2019
SEC Approves New Venture Exchange
Last Friday, the Securities and Exchange Commission approved a new Silicon Valley-based national securities exchange, the LTSE, with a unique twist – a focus on earlier stage companies and long term investing.
United States
29 May 2019
SEC Adopts Simplified, Modernized Disclosure Requirements
On March 20, 2019, the SEC adopted amendments to rules and forms of Regulation S-K to further simplify and modernize disclosure
United States
15 May 2019
The Government Shutdown And Effectiveness Of Registration Statements Under Section 8(a)
Given the shutdown of the SEC as part of the wider government shutdown, we are seeing many registration statements being filed with no delaying amendment language and with the language
United States
22 Jan 2019
Reporting Companies Cleared For Reg A+ Offerings
The Securities and Exchange Commission announced on December 19, 2018 that it has adopted final rules that will permit full SEC reporting companies to conduct public offerings utilizing
United States
3 Jan 2019
SEC Adopts Final Rules For Disclosure Of Hedging Policies
On December 18, 2018, the SEC approved final rules requiring companies to disclose their practices or policies with respect to hedging transactions by officers and other employees as well as directors.
United States
28 Dec 2018
Vietnam – Securities And Banking Guide Update 2018
The State Bank of Vietnam (Ngan hang Nha nuoc Viet Nam, SBV) is the central bank of Vietnam. It is a ministry-level body under the administration of the government.
28 Nov 2018
ICO/STO: Is It Legal For Vietnamese To Participate?
The short answer is that ICO/STOs themselves are not regulated yet in Vietnam (as in most other countries). That doesn't mean that every initial coin offering (ICO),
United States
27 Nov 2018
Anwalt In Vietnam Dr. Oliver Massmann Bankgeschäfte Und Wertpapiere
Die State Bank of Vietnam (Ngan Hang Nha Nuoc Vietnam, SBV) ist die Zentralbank Vietnams. Sie ist eine auf Ministeriumsebene befindliche Körperschaft, die der Regierung unterstellt ist. Der...
16 Nov 2018
Funding In Regulation A+ Offerings Doubles
Reporting from the Practising Law Institute's Annual Institute on Securities Regulation here in New York City.
United States
14 Nov 2018
Trump Asks SEC To Consider Eliminating Quarterly Reporting
Those who counter this argument believe six months is too long to spot trends that are developing.
United States
24 Sep 2018
Thomson Reuters Interviewing Dr. Oliver Massmann On Initial Public Offerings (IPO)
The investors are very optimistic about the development of Vietnam's market. Vietnam's GDP in Q1/2018 is 7.4%, the highest rate in the past 10 years.
2 Jul 2018
SEC Launches Howeycoins ICO (Spoiler – It's Fake)
Joining the seemingly endless parade of blockchain-enabled initial coin offerings (ICOs) that have hit the market, the Securities and Exchange Commission (SEC) is promoting a new offering of digital tokens ...
United States
11 Jun 2018
New Law Orders SEC To Allow Reporting Companies To Use Regulation A+
The new law reverses that and orders the SEC to change the rules to permit reporting companies to utilize Reg A+.
United States
25 May 2018
Investment Advisers And Cryptocurrencies
In reaction to the growth and popularity of cryptocurrencies and digital tokens, the SEC has recently begun to exercise its authority over the digital asset market.
United States
18 May 2018
Conducting ICOs In Compliance With The Securities Laws
The Securities and Exchange Commission (SEC) has made it clear that it considers all initial offerings of cryptocurrencies and digital tokens as offerings of securities.
United States
14 May 2018
Cryptocurrencies And Digital Tokens As Securities
Since the release of Bitcoin in 2009, cryptocurrencies and digital tokens powered by blockchain technology have garnered the attention of investors, financial intermediaries and government agencies.
United States
14 May 2018
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