On March 12, 2025, the staff of the Securities and Exchange Commission (SEC) issued a series of updates to the Securities Act Rules Compliance and Disclosure Interpretations (C&DIs), primarily affecting exempt offerings under...more
On March 3, 2025, the Securities and Exchange Commission (SEC) staff issued guidance that expands the existing accommodations available to companies to submit draft registration statements to the SEC for confidential,...more
It has been one year since the Canadian Securities Administrators (the CSA) introduced the listed issuer financing exemption (the LIFE Exemption) under Part 5A of National Instrument 45-106 Prospectus Exemptions, which is...more
12/1/2023
/ Broker-Dealer ,
Canada ,
Canadian Securities Administration ,
Corporate Officers ,
Debt ,
Directors ,
Disclosure Requirements ,
Liability ,
Misrepresentation ,
Offering Documents ,
Purchasers ,
Resales Agreements ,
Securities Act of 1933 ,
Securities Regulation
On July 26, 2023, the Securities and Exchange Commission (SEC) announced the adoption of final rules relating to cybersecurity risk management, strategy, governance, and incident disclosures. The new rules define a...more
On May 3, 2023, the Securities and Exchange Commission (SEC) adopted final rules that significantly increase issuers’ disclosure obligations by requiring more detailed periodic disclosure about repurchases and issuer trading...more
On December 14, 2022, the Securities and Exchange Commission (SEC) adopted amendments to Rule 10b5-1 (Rule 10b5-1) under the Securities Exchange Act of 1934, as amended (Exchange Act) that provides an affirmative defense to...more
On August 25, 2022, the Securities and Exchange Commission (SEC) adopted final disclosure rules implementing the pay versus performance requirement of the Dodd-Frank Act for most reporting companies. The SEC originally...more