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|I Can See Clearly Now - OSC to Clarify Rules for Outbound Distributions|
Michael Burns, Andrew Powers, Linda Tu; Borden Ladner Gervais LLP;
July 23, 2016, previously published on July 13, 2016On June 30, 2016, the Ontario Securities Commission (the "OSC") proposed OSC Rule 72-503 - Distributions Outside of Canada (the "Proposed Rule"). The Proposed Rule would replace the antiquated Interpretation Note 1 - Distributions of Securities Outside of Ontario (the...
|SEC Proposes Modernization of Disclosure Requirements for Mining Registrants|
Bradley C. (Brad) Brasser, Boris Dolgonos, Rory T. Hood, Joel T. May, Michael J. (Mike) Solecki; Jones Day;
July 22, 2016, previously published on July 2016The U.S. Securities and Exchange Commission ("SEC") recently proposed rules that, if adopted, would overhaul disclosure requirements for mining registrants. As part of the SEC's ongoing disclosure effectiveness initiative, the proposed rules are primarily intended to align the SEC's...
|Key EU Advisory Body Declines to Support Privacy Shield (Update)|
Susan L. Foster; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
July 21, 2016, previously published on April 13, 2016UPDATE: The Article 29 Working Party has released surprisingly brief comments on Privacy Shield. Consistent with the press briefing held earlier today (see below), WP29 has concluded that Privacy Shield falls short without providing specific guidance as to what, exactly, an acceptable version of...
|SEC Amends Form 10-K to Permit Inclusion of Summaries|
Joan S. Guilfoyle; Jones Walker LLP;
July 12, 2016, previously published on June 9, 2016On June 1, 2016, the Securities and Exchange Commission ("SEC") issued an interim final rule amending Form 10-K (the annual report public companies must file with the SEC) to permit reporting companies, at their option, to include a summary of the information required by the Form 10-K in...
|The Cost of Compliance in Alberta is Going Up — ASC Adopts New Participation Fee for Reporting Issuers and Changes Other Fees|
Jonathan L. Doll, Sharagim Habibi; Borden Ladner Gervais LLP;
July 12, 2016, previously published on June 20, 2016The Alberta Securities Commission (ASC) is adopting ASC Rule 13-501 Fees (Fee Rule), which will become effective on December 1, 2016, subject to obtaining the necessary Ministerial approval. The Fee Rule covers the payment of all fees to the ASC and, once effective, will replace the previous ASC...
|Eighth Circuit Joins Other Courts in Adopting Less Rigorous Standard for Violation of Securities Laws|
Bruce J. Douglas, Colton D. Long; Ogletree, Deakins, Nash, Smoak & Stewart, P.C.;
July 12, 2016, previously published on June 23, 2016The Sarbanes-Oxley Act of 2002 (SOX) prohibits a publicly traded company from discharging an employee in retaliation for providing information to a supervisor or another person in the company with investigative authority about "any conduct which the employee reasonably believes constitutes a...
|Harmonized Discretionary Relief for New Trading Rules|
Mark S. Powell; Bennett Jones LLP;
July 12, 2016, previously published on June 19, 2016On June 17, 2016, pursuant to Multilateral CSA Staff Notice 96-301 (the "Notice"), the securities regulators of each Alberta, New Brunswick, Nova Scotia and Saskatchewan (the "Announcing Jurisdictions") announced that they were providing harmonized discretionary relief with...
|Eleventh Circuit Limits SEC’s Claims for Declaratory Judgment and Disgorgement to Five-Year Statute of Limitations|
Sutherland Asbill Brennan LLP;
July 8, 2016, previously published on June 30, 2016Unless otherwise provided by law, 28 U.S.C. § 2462 ordinarily requires the government to bring any “action, suit or proceeding for the enforcement of any civil fine, penalty, or forfeiture” within five years of the claim’s accrual. In SEC v. Graham, — F.3d —, 2016...
|CFTC Holds Roundtable to Consider Proposed Regulation AT|
Neal E. Kumar, Gregory George Mocek, Paul J. Pantano, Michael Sean Selig, Mary Treanor; Cadwalader, Wickersham & Taft LLP;
July 7, 2016, previously published on June 13, 2016On June 10, 2016, Staff for the Commodity Futures Trading Commission (“CFTC”) held a public roundtable to discuss its proposed Regulation Automated Trading (“Regulation AT”).1 The CFTC proposed Regulation AT in an attempt to reduce the risk of market disruptions caused by...
|Another Change to Canada's Exempt Markets - New Harmonized Report of Exempt Distribution effective June 30, 2016|
Jason J. Brooks, Michael Burns, Rebecca A. Cowdery, Jonathan L. Doll, Christian Faribault; Borden Ladner Gervais LLP;
July 7, 2016, previously published on June 24, 2016Effective June 30, 2016, issuers distributing securities in Canada in the exempt market under certain prospectus exemptions will be required to use a new nationally harmonized form of exempt distribution report to report such trades to the applicable securities regulators. Amendments to National...