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 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