News & Analysis as of

Filing Requirements Offerings

Stikeman Elliott LLP

CSA Provide Guidance on the Listed Issuer Financing Exemption

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On June 1, 2023, the Canadian Securities Administrators (CSA) published CSA Staff Notice 45-330: Frequently Asked Questions about the Listed Issuer Financing Exemption (the Notice) providing guidance on questions market...more

Blake, Cassels & Graydon LLP

Dispenses temporaires de certaines obligations dans les prospectus préalables de base pour les émetteurs établis bien connus

Le 6 décembre 2021, conformément à l’Avis 44-306 du personnel des ACVM, Décisions générales dispensant les émetteurs établis bien connus de certaines obligations relatives au prospectus (l’« Avis 44-306 »), les Autorités...more

Blake, Cassels & Graydon LLP

CSA Introduces Temporary Exemptions for Well-Known Seasoned Issuers from Certain Base Shelf Prospect

On December 6, 2021, pursuant to Staff Notice 44-306 Blanket Orders Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements (the Notice), the Canadian Securities Administrators (CSA) announced temporary...more

Stikeman Elliott LLP

Temporary Relief Will Provide Well-Known Seasoned Issuers (WKSIs) with Accelerated Access to Public Markets

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Beginning in 2022, well-known seasoned issuers (WKSIs) will be exempt from certain base shelf prospectus filing requirements, including the requirement to file a preliminary base shelf prospectus, in accordance with...more

Mayer Brown Free Writings + Perspectives

FINRA Proposes to Amend Rules 5122 and 5123

FINRA filed with the Securities and Exchange Commission (SEC) proposed amendments to the private placement filer form that members complete in connection with private placement filings made pursuant to either Rule 5122 or...more

Hogan Lovells

U.S. SEC and Longfin CEO settle fraud action

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The SEC has settled its fraud action against Longfin CEO Venkata Meenavalli, who has agreed to pay $400,000 in disgorgement and penalties. The SEC's complaint alleged that Longfin and Meenavalli obtained qualification for...more

Mayer Brown Free Writings + Perspectives

SEC Approves FINRA Rule 5110 Amendments

Recently, the Securities and Exchange Commission approved FINRA’s proposed amendments to its Corporate Financing Rule, which are intended to modernize, simplify, and streamline the rule....more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

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The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Smith Anderson

A New Path to Capital Opens for North Carolina Businesses

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The NC PACES Act: “Providing Access to Capital for Entrepreneurs and Small Business” is expected to be signed into law very soon. After years in the making, “intrastate” crowdfunding is coming to North Carolina. ...more

Morrison & Foerster LLP - JOBS Act

FINRA Reminds Members of Obligations in Offerings Subject to a Contingency

On February 8, 2016, FINRA released Regulatory Notice 16-08 relating to the contingency offering requirements of Rules 10b-9 and 15c2-4 under the Exchange Act. The Notice arises from FINRA’s review of various private...more

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