The SEC has updated the EDGAR system’s login, password, and access protocols which will affect Canadian SEC reporting companies and other individuals and entities with EDGAR filing codes, including non-reporting companies...more
4/1/2025
/ Canada ,
Canadian Securities Administration ,
Corporate Governance ,
EDGAR ,
Filing Deadlines ,
Filing Requirements ,
Form 13F ,
Form D Filing ,
Investors ,
Private Placements ,
Publicly-Traded Companies ,
Reporting Requirements ,
Schedule 13D ,
Schedule 13G ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On September 28, 2021, companies trading in the United States over-the-counter securities markets (“OTC Markets”) that do not comply with amended Rule 15c-211 will no longer be eligible for quotation on the OTC Markets,...more
8/16/2021
/ Amended Regulation ,
Broker-Dealer ,
Canada ,
Cross-Border Transactions ,
Crowdfunding ,
Foreign Issuers ,
Foreign Private Issuers ,
Over-the-Counter Sales ,
Public Disclosure ,
Regulation A ,
Securities ,
Securities Exchange Act
The United States capital markets are among the world’s largest and most stable markets to access capital and liquidity for securityholders. In the past, many Canadian companies have elected not to access the United States...more
10/15/2020
/ Canada ,
Capital Markets ,
Corporate Issuers ,
Cross-Border Transactions ,
Foreign Issuers ,
OTCQB ,
OTCQX ,
Sarbanes-Oxley ,
Securities Exchange Act ,
Securities Exchanges ,
Securities Regulation
SEC registration statements and certain annual reports require consents of experts (e.g., technical experts, audit firms, and investment banks that provide fairness opinions) named in the disclosure document. A recent...more
On October 31, 2018, the United States Securities and Exchange Commission (the “SEC”) announced that it adopted rules to modernize mining property disclosure in order to harmonize SEC disclosure requirements with...more
With the listing on May 24th of Canopy Growth Corporation (Canopy) on the New York Stock Exchange (NYSE), both NASDAQ and the NYSE have permitted Canadian cannabis companies to trade on their respective exchanges. Canopy, the...more
The NYSE has made a few recent announcements affecting the obligations of NYSE and NYSE American listed Canadian companies with respect to providing information to the exchange.
An NYSE listed company that files its...more
The United States Public Company Accounting Oversight Board (PCAOB) issued new standards for auditor’s reports that will effect Canadian issuers who are SEC registered. The initial changes go into effect for issuers with...more