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Foreign Private Issuers: Have You Assessed Your Status Under US Securities Laws?

For foreign private issuers registered with the U.S. Securities and Exchange Commission (SEC), there are several filing statuses that affect the content of various public disclosures that must be made. Foreign private issuers...more

New York Attorney General Issues Guidance Clarifying Filing Requirements for Regulation D Private Placements

On December 1, the New York attorney general issued guidance that issuers selling “covered securities” must provide notice through the Electronic Filing Depository (EFD) of the North American Association of Securities...more

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