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|Major Changes to Capital Raising Exemptions in Canada: Is This Good News or Bad News for Issuers?|
Robert N. Black, Sarah Bode, Don Collie; Davis LLP;
April 16, 2015, previously published on April 7, 2015The Canadian Securities Administrators (CSA) have announced that they are implementing significant changes to the “accredited investor” (AI) and “minimum amount” prospectus exemptions set out in National Instrument 45-106 Prospectus and Registration Exemptions. On the same...
|Canadian Securities Administrators Publish Consultation Paper 92-401 - Derivatives Trading Facilities|
Christopher Bamford, Candace Pallone, Barry J. Ryan; McCarthy Tétrault LLP;
April 15, 2015, previously published on April 8, 2015On January 29, 2015, the Canadian Securities Administrators (“CSA”) Derivatives Committee published for comment Consultation Paper 92-401 - Derivatives Trading Facilities (the “Consultation Paper”), its seventh in a series of high-level consultation papers examining reform...
|OSC Accepts Circumstantial Evidence of Tipping and Insider Trading in Important New Decision|
Shane C. D'Souza, Rene R. Sorell; McCarthy Tétrault LLP;
April 2, 2015, previously published on March 30, 2015In the recent Azeff decision, which followed a contested hearing, the Ontario Securities Commission (OSC) accepted several insider tipping and trading allegations based on “firmly established” circumstantial evidence against a mergers and acquisitions (M&A) lawyer and four registrants....
|Proposed New Regulatory Landscape for Proprietary Trading Firms|
Duane Morris LLP;
April 2, 2015, previously published on March 27, 2015As the result of a recent series of proposed new and amended rules and regulations, firms whose business is proprietary trading in the financial markets - such as so-called "high frequency traders" (HFT) - may become subject to an entirely new substantive regulatory landscape, including...
|SEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9) |
Andrew S. Kreider, Jason R. Schendel, John D. Tishler; Sheppard, Mullin, Richter & Hampton LLP;
March 24, 2015, previously published on January 29, 2015On January 16, 2015, SEC Chair Mary Jo White issued a directive that the staff of the SEC review its position on Rule 14a-8(i)(9) of the Securities Exchange Act of 1934 (the “Exchange Act”). Concurrent with SEC Chair White’s directive, the Division of Corporation Finance announced...
|Legal Update for Securities|
Terrance A. Bostic, Jeffrey J. Chomko, Samuel E. Cohen, Andrew W. Davitt, Denis C. Dice; Marshall Dennehey Warner Coleman Goggin P.C.;
March 18, 2015, previously published on March 20, 2015In a recent FINRA arbitration, Stanley Abel v. Janney Montgomery Scott, FINRA Arbitration No. 14-00018, Sam Cohen (Philadelphia, PA) obtained a directed verdict on behalf of his clients, Janney Montgomery Scott LLC, and its registered representative. The claimant, a public customer, as well as a...
|2015 Disclosure Update |
Colin Cameron-Vendrig, Jason M. Saltzman; Borden Ladner Gervais LLP;
March 13, 2015, previously published on February 6, 2015Each year the Securities and Capital Markets team at BLG is asked what has changed to the continuous disclosure requirements for Canadian public companies.
|E-Discovery and Social Networking: Perils and Pitfalls|
Candace C. Uxbridge; was;
March 13, 2015, previously published by LexisNexis Martindale-Hubbell Counsel to Counsel MagazineThis is the article abstract. Important for readers and SEO.
|Effective May 5, 2015: Implications For Issuers And Dealers, As Well As For Retail Investors|
Michael Burns, Rebecca A. Cowdery, Donna Spagnolo, Michael Taylor, Michael T. Waters; Borden Ladner Gervais LLP;
March 12, 2015, previously published on February 27, 2015The increased pace of regulatory change experienced over the last few years appears poised to continue during 2015, along with the Canadian Securities Administrators’ (CSA) focus on enhancing protections for retail investors. The CSA recently finalized and released important amendments to...
|New York Enacts Revisions to the UCC|
Steven N. Cohen, Lech Kalembka, Bryon Mulligan; Cadwalader, Wickersham & Taft LLP;
March 12, 2015, previously published on December 29, 2014As many readers are aware, substantial revisions to Article 9 of the Uniform Commercial Code (the “UCC”) became effective in all 50 states and the District of Columbia in 2001 or shortly thereafter.