Securities and Exchange Commission (SEC), Foreign Private Issuers, Canada

Concept Release: Foreign Private Issuers Under the SEC’s Microscope

Davies Ward Phillips & Vineberg LLP on 7/9/2025

Do the U.S. securities law accommodations through the “foreign private issuer” (FPI) construct benefit the intended entities? That’s the fundamental question that the U.S. Securities and Exchange Commission (SEC) is analyzing...more

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

Troutman Pepper Locke on 7/1/2025

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 disclosures that must be made public. Foreign private issuers...more

New SEC Cybersecurity Rules Require Mandatory Disclosure

Dorsey & Whitney LLP on 9/8/2023

On July 26, 2023, the Securities and Exchange Commission adopted new rules imposing disclosure requirements regarding cybersecurity risk management, strategy, governance and incidents. The new rules, which became effective...more

SEC Adopts New Cybersecurity Disclosure Rules for U.S. Public Companies and Foreign Private Issuers

Stikeman Elliott LLP on 9/7/2023

The Securities and Exchange Commission (“SEC”) adopted new rules requiring the disclosure of cybersecurity risk management, strategy, governance and material incidents (the “Rules”), effective September 5, 2023. The Rules...more

OTCQX International Rule Changes Will Push Certain Canadian Companies to the OTCQB Tier

Dorsey & Whitney LLP on 9/23/2021

The OTC Markets has published proposed rule changes that would, effective September 23, 2021, require that in order to be quoted on the OTCQX International, a company must either be an SEC reporting company, file reports with...more

New NASDAQ Board Diversity Disclosure Rules

Dorsey & Whitney LLP on 8/18/2021

As discussed in more detail here, on August 6, 2021, the United States Securities and Exchange Commission (the “SEC”) approved NASDAQ Rules 5605(f) and 5606, which require each NASDAQ listed company (subject to certain narrow...more

Tax Reform to Impact Compensation Deduction Claimed by Foreign Private Issuers

Dorsey & Whitney LLP on 2/9/2018

While the recently enacted U.S. tax reform legislation did not overhaul executive compensation to the extent proposed in early forms of the bill, Section 162(m) of the U.S. Internal Revenue Code was dramatically revised in a...more

Understanding the SEC’s Proposed New Mining Disclosure Rules: Questions and Answers

Dorsey & Whitney LLP on 7/8/2016

On June 16, 2016, the SEC proposed a major overhaul of the disclosure requirements for companies that are engaged in material mining operations, including royalty companies. The proposed rules would replace the SEC’s...more

Securities and Exchange Commission (SEC) › Foreign Private Issuers › Canada

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