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Capital Markets › Exemptions › Regulatory Requirements

Skadden, Arps, Slate, Meagher & Flom LLP

New UK Prospectus Rules Published

Skadden, Arps, Slate, Meagher & Flom LLP on

- What is new: The FCA has published final rules for the new UK prospectus regime, introducing significant reforms such as a new 75% threshold for secondary issuances, new prospectus exemptions, permitting protected...more

Cozen O'Connor

Canadian Securities Administrators Announces Changes to the Listed Issuer Financing Exemption

Cozen O'Connor on

Effective May 15, 2025, the Canadian Securities Administrators (CSA) is increasing the limit on capital-raising under the listed issuer financing exemption. This amendment aims to improve the competitiveness of Canada’s...more

A&O Shearman

FCA Handbook Notice 129

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published Handbook Notice 129 which sets out changes to the classes of derivatives subject to the derivatives trading obligation (DTO), following policy statement PS25/2 published...more

Bennett Jones LLP

Canadian Securities Regulators Take Further Incremental Steps to Promote Access to Capital Markets

Bennett Jones LLP on

Against the current backdrop of global market uncertainty, on April 17, 2025, the Canadian Securities Administrators (CSA) announced new incremental measures aimed at reducing regulatory burden for reporting issuers,...more

DarrowEverett LLP

Private Placements in South Carolina: A Primer on Federal and State Securities Registration

DarrowEverett LLP on

With an estimated 34 people moving to the Charleston area each day and with South Carolina claiming one of the fastest-growing populations in the nation last year , the post-COVID increase in the number of private placement...more

Mayer Brown Free Writings + Perspectives

SEC Extends Compliance Dates and Provides Temporary Exemption for Rule Related to Clearing of U.S. Treasury Securities

Mayer Brown Free Writings + Perspectives on

On February 25, 2025, the SEC extended the compliance dates for Rule 17ad-22(e)(18)(iv)(A) and (B) under the Securities Exchange Act for eligible cash market transactions by one year to December 31, 2026, and for eligible...more

Stikeman Elliott LLP

OSC Announces New Exemptions to Support Capital Raising for Early-Stage Ontario Businesses

Stikeman Elliott LLP on

On May 9, 2024, the Ontario Securities Commission (“OSC”) announced three new exemptions designed to support capital raising for early-stage businesses in Ontario through the OSC TestLab program. The initiatives include the...more

Stikeman Elliott LLP

Regulators Issue Temporary Exemptions from the OEO Trailer Ban

Stikeman Elliott LLP on

The Ontario Securities Commission (OSC) recently announced a temporary exemption from the order execution only (OEO) trailer ban in order to facilitate client transfers and rebates of trailing commissions. Other Canadian...more

Ballard Spahr LLP

SEC Adopts Final Rule Expanding Regulation A Exemption to Exchange Act Reporting Companies

Ballard Spahr LLP on

The Securities and Exchange Commission (SEC) last week adopted a final rule amending Regulation A to broaden eligibility for its exemption from full SEC registration. ...more

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