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Offerings Securities Regulation Investment Adviser

Stikeman Elliott LLP

EMDs Can Now Participate in Prospectus Offerings

Stikeman Elliott LLP on

The securities regulators in Alberta, British Columbia, New Brunswick, Nova Scotia, Ontario, Québec and Saskatchewan have published a temporary exemption that allows exempt market dealers (“EMDs”) to participate in prospectus...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: January 1, 2024

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update (22-01)

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Mayer Brown Free Writings + Perspectives

Disclosure Guidance for Offerings for Issuers with Volatile Securities

Recently, the Securities and Exchange Commission’s Division of Corporation Finance issued a sample comment letter that provides guidance to issuers raising capital and that have volatile securities. ...more

Akerman LLP

New Accredited Investor Definition Took Effect Tuesday

Akerman LLP on

On August 26, 2020 the Securities Exchange Commission (SEC) announced the adoption of amendments to expand the definition of “accredited investor” and “qualified institutional buyer”.  The amendments, published in the Federal...more

Mayer Brown Free Writings + Perspectives

Chair Clayton Testifies in Congress

In his testimony in Congress, Securities and Exchange Commission Chair Jay Clayton provided an update on the rulemaking work undertaken by the SEC during the fiscal year and provided updates on the SEC’s priorities. ...more

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