Buried in the National Defense Authorization Act for Fiscal Year 2024, which the U.S. Senate passed earlier this year, is a provision that, if enacted, will eliminate exemptions relied upon by insiders of dual-listed Canadian...more
11/1/2023
/ Canada ,
Disclosure Requirements ,
Disgorgement ,
Electronic Disclosure ,
Foreign Issuers ,
Foreign Private Issuers ,
NDAA ,
Proposed Legislation ,
Reporting Requirements ,
Securities Exchange Act ,
Short Sales ,
Short-Swing Trading
On October 10, 2023, the Securities and Exchange Commission (SEC) adopted final amendments to the rules that govern beneficial ownership reporting and provided guidance on the application of those rules. The SEC also...more
10/25/2023
/ Alberta Securities Commission ,
Amended Rules ,
Beneficial Owner ,
Canadian Securities Administration ,
Derivatives ,
Disclosure Requirements ,
Filing Deadlines ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholder Activism ,
Shareholders
In late 2022, the U.S. Securities and Exchange Commission (SEC) adopted final amendments to certain rules and reporting requirements concerning insider trading arrangements, including Rule 10b5-1(c) under the Securities...more
1/23/2023
/ Cooling-Off Rule ,
Disclosure ,
Enforcement Actions ,
Good Faith ,
Insider Trading ,
Jurisdiction ,
MNPI ,
Policies and Procedures ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act