On June 4, 2025, the U.S. Securities and Exchange Commission (SEC) issued a Concept Release, seeking public feedback on whether the nearly half-a-century-old definition of foreign private issuer (FPI) and the reporting...more
6/11/2025
/ Capital Markets ,
Disclosure Requirements ,
Financial Regulatory Reform ,
Foreign Private Issuers ,
Investment ,
Investors ,
Proposed Amendments ,
Proposed Rules ,
Regulatory Reform ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On March 27, 2025, the Senate Banking Committee (Committee) held Paul Atkins’ confirmation hearing for Chairman of the U.S. Securities and Exchange Commission (SEC or Commission). Below are some highlights, observations, and...more
4/11/2025
/ Capital Markets ,
Corporate Governance ,
Cryptocurrency ,
Environmental Social & Governance (ESG) ,
Initial Public Offering (IPO) ,
Private Funds ,
Regulatory Reform ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Senate Confirmation Hearings
On March 12, 2025, the SEC approved a significant rule change to Nasdaq’s initial listing liquidity requirements (the New Liquidity Rules). These changes make it more challenging for companies seeking to list on the Nasdaq...more
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