News & Analysis as of

Comment Period Exemptions Proposed Rules

Stikeman Elliott LLP

OSC Proposes Restrictions on Short Selling in Connection with Offerings

Stikeman Elliott LLP on

The Ontario Securities Commission (“OSC”) published for comment proposed amendments to OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions and proposed changes to the related companion...more

BCLP

FinCEN Proposes AML/CFT Rules for Investment Advisers

BCLP on

On February 13, 2024, the U.S. Treasury Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking regarding a new proposed rule that would require certain investment advisers to apply anti-money...more

Goodwin

FinCEN Proposes Rules Implementing Corporate Ownership Requirements Under Corporate Transparency Act to Fill Gaps in U.S....

Goodwin on

WHAT YOU NEED TO KNOW: - The U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN) has issued a proposed rule to implement portions of the Corporate Transparency Act codified at 31 U.S.C. § 5336 (CTA). ...more

BCLP

SEC Proposes Limited Exemption for Persons Acting as “Finders” in Private Capital Transactions to Accredited Investors

BCLP on

The SEC announced on October 7, 2002 that it had approved, by vote of 3-2, a proposed limited conditional exemption for individuals acting as “finders” in private market transactions with accredited investors. ...more

Mayer Brown Free Writings + Perspectives

SEC Proposes Rule Changes to Exempt Offering Framework

On March 4, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to the current framework of registration exemptions and safe harbors. ...more

Cozen O'Connor

III-44- A Little Help From The DOL

Cozen O'Connor on

Today's episode discusses FIVE new opinion letters and proposed rules issued by the United States Department of Labor that offer much-needed help to the employment community on issues of significance....more

Holland & Knight LLP

Administration Proposes Changes to the Drug Rebate Program

Holland & Knight LLP on

On Jan. 31, 2019, the Department of Health and Human Services' (HHS) Office of the Inspector General (OIG) issued a long-awaited proposed rule that would, if finalized, remove the existing legal "safe harbor" that protects...more

Kilpatrick

Clarifying the Single Issuer Exemption for Broker-Dealers

Kilpatrick on

On September 20th, the SEC released a proposed rule amending Rule 17a-5 of the Securities Exchange Act of 1934, as amended (“Exchange Act”). Under Rule 17a-5(d)(1)(i)(C) of the Exchange Act, broker-dealers registered with the...more

Akin Gump Strauss Hauer & Feld LLP

DHS Proposes New Public Charge Rule

• Applicants for a green card and for most nonimmigrant visas (including work, student and tourist visas) will be subject to the new DHS rule on “public charge” determination. This will affect the processing of...more

Blake, Cassels & Graydon LLP

Alberta Securities Commission Proposes New Rules to Facilitate Cross-Border Offerings

The Alberta Securities Commission (ASC) is proposing to replace its rules and policies governing certain securities distributions to purchasers outside Alberta, with the aim to reduce regulatory red tape and facilitate...more

Schwabe, Williamson & Wyatt PC

Public Hearing Set for Amended Overtime Statutes

Manufacturers who will be affected by the new changes to the overtime rules may be interested in attending a public hearing and/or providing public comment on the development of the Oregon Administrative Rules that BOLI will...more

Blake, Cassels & Graydon LLP

Making a Bright Line at the Border: CSA and OSC Seek to Clarify How Canadian Securities Laws Apply to Trades Outside Canada

On June 29, 2017, the Ontario Securities Commission (OSC) published a Second Notice and Request for Comment (Second Notice) on an amended Proposed OSC Rule 72-503 Distributions Outside Canada (Rule 72-503) and Proposed...more

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