Ralph Shay

Ralph Shay

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Canadian Securities Regulators release results of Continuous Disclosure Review

On July 16, 2015, the Canadian Securities Administrators (CSA) issued CSA Staff Notice 51-344 summarizing the results of their Continuous Disclosure (CD) Review Program for the fiscal year ended March 31, 2015. The CSA...more

8/19/2015 - Canada Canadian Securities Administration Disclosure Requirements Filing Requirements Financial Reporting Financial Statements Liquidity Material Disclosures Mining Publicly-Traded Companies Related Parties

SEC Proposes Executive Compensation Claw-Back Rules

The US Securities and Exchange Commission has proposed rules that would require issuers listed on US stock exchanges to adopt and disclose a policy to recover, or “claw back”, certain incentive-based compensation. Recovery...more

8/4/2015 - Clawbacks Comment Period Disclosure Requirements Dodd-Frank Executive Compensation Foreign Private Issuers Issuers Listing Standards Proposed Regulation Publicly-Traded Companies SEC Total Shareholder Return (TSR)

Access to Capital for Small Businesses: SEC Adopts Final Rules to Implement "Regulation A+" Offering Exemption Under the JOBS Act

The new Regulation A offering exemption, which the SEC recently adopted under Title IV of the JOBS Act, has taken effect. The new rules, also known as “Regulation A+,” permit unregistered public offerings of up to US$50...more

8/3/2015 - Capital Formation Final Rules JOBS Act Regulation A SEC Small Business Small Offering Exemptions Startups Tier 2 Offerings

Canadian securities regulators reach consensus on more target-friendly take-over bid legislation

The Canadian Securities Administrators (“CSA”) have announced that they intend to publish a new proposal for changes to the regulation of take-over bids, replacing the two alternative proposals published for comment in March...more

9/25/2014 - AMF Authorization Canada Canadian Securities Administration Financial Regulatory Reform Takeover Bids

Private Placements By Acquisition Targets – Another Regulatory Grey Area

On November 28, 2012, the British Columbia Securities Commission (BCSC) issued the reasons for the decision it had made following a hearing to consider an application made by Inmet Mining Corporation for certain relief in...more

1/10/2013 - Acquisitions Bids British Columbia Securities Commission Hostile Takeover Private Placements Publicly-Traded Companies Shareholder Rights

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