Securities Laws: Overview For Nonlawyers
Oasis Pro Markets is a broker-dealer operating an alternate trading platform for digital asset securities. They administer trading of digital securities, digital equity, and investments in IPOs. Oasis Pro Markets provides a streamlined platform for initial issuance as well as connectivity for buyers and sellers to transact in a secondary market. Frank Weigand begins this presentation by talking about Oasis Pro Markets and their operations. He then explains securities laws and how they relate to digital securities. In this video, you’ll learn about the functions of Oasis Pro Markets, several laws including the 33 and 34 act, the Howey Test, and many others.
Frank Weigand is General Counsel and Head of Listings at Oasis Pro Markets. In his nearly 20 years as an attorney, Frank has developed an expertise spanning a wide range of areas including broker-dealer and securities regulation, capital markets, derivatives, banking, investment advisory, hedge fund regulation and transactional matters. Prior to Oasis, Frank was General Counsel of HSBC Securities as well as Head of Legal for the Americas Division of HSBC’s Global Markets business. Prior to HSBC, Frank was an associate with Davis Polk in NY. Frank holds a JD (cum laude) as well as an undergraduate degree in finance (summa cum laude) from Fordham University.
This video was recorded at the Digital Assets and Securities Conference in Austin, Texas in May 2022. The Digital Assets AND Securities (DAAS) conference is an informative and integrative conference that brings together builders, issuers, investors, business and tech leaders, and anyone else involved in all things web3. Put together annually by Vertalo, the purpose of the conference is to connect and enable a stronger ecosystem to further the understanding of the intersection of digital assets and securities.
For more information about Frank Weigand, please visit his LinkedIn, https://www.linkedin.com/in/frank-weigand-a4658011/
For more educational videos about the Digital Asset Securities ecosystem and its growing roster of participants, please visit https://www.vertalo.com/.