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Results: 1-10 of 278

Changes Are Coming to the SEC Enforcement Division - What Does It All Mean?
  • Duane Morris LLP
  • USA
  • February 21 2017

This week reports surfaced that a major shift in the SEC enforcement division had taken place - behind the scenes. The timing is quite interesting as


Trump’s Order on Reducing Regulations Does Not Apply to the SEC
  • Duane Morris LLP
  • USA
  • February 16 2017

On January 30, Pres. Trump issued an executive order that for every new regulation proposed, an agency must eliminate two old regulations. The order


Second Circuit Reverses Lower Court's Restrictions on the Restructuring of Bondholder Rights in Marblegate
  • Duane Morris LLP
  • USA
  • February 16 2017

Recently, in a split (2-1) decision, the United States Court of Appeals for the Second Circuit overturned the United States District Court for the


First Cannabis Company is Exchange-Listed Amid Uncertainty
  • Duane Morris LLP
  • USA
  • December 31 2016

In a major positive step for the cannabis industry, the New York Stock Exchange last month listed a new real estate investment trust called Innovative


SEC Issues Encouraging White Paper on Regulation A Performance
  • Duane Morris LLP
  • USA
  • December 28 2016

Following up on positive statements by senior SEC staffers at the recent PLI Securities Law seminar and the SEC small business forum in November, the


SEC Approves Important Rule 504 Changes
  • Duane Morris LLP
  • USA
  • November 1 2016

A little known and little used part of Regulation D under the Securities Act is about to get some new attention. In what appears to be a gift to the


China Enacts Preferential Income Tax Toward Non-listed Companies Who Carry Out Equity Incentive Plans to Promote Development of Science and Technology Enterprises
  • Duane Morris LLP
  • China
  • October 13 2016

In order to promote China's science and technology innovation, as well as industrial upgrading, on September 22, 2016, Ministry of Finance ("MOF") and


SEC Intensifies Scrutiny of Employment-Related Agreements
  • Duane Morris LLP
  • USA
  • October 6 2016

The cease-and-desist orders entered in August 2016 by the United States Securities and Exchange Commission (SEC) demonstrate the SEC's increased


Vietnam - Building better Investor Protection Framework - What you must know:
  • Duane Morris LLP
  • Hong Kong, Singapore, Vietnam
  • October 6 2016

Vietnam stock exchange already gained significant milestones in developments, but why it still does not attract big domestic companies to list so far


SEC Files Civil Claims Against General Counsel for Mishandling Internal Investigation and Securities Disclosures
  • Duane Morris LLP
  • USA
  • September 15 2016

On September 9, 2016, the U.S. Securities and Exchange Commission ("SEC") charged Ohio-based chemical company RPM International Inc. ("RPM") and its