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Results 1 to 5 of 6

The SEC gets serious about late beneficial ownership reporting

USA - September 11 2014 On September 10, 2014, the Securities and Exchange Commission ("SEC") announced charges against 28 directors, officers and significant shareholders…

M&A alert: potential US tax issues on employee severance and bonus payments

USA - February 4 2014 When drafting employment agreements and severance arrangements for employees of US subsidiaries or for Canadian-based employees who are US citizens…

Co-authors: Marianne O'Bara, Jamison Klang.

Capital markets tip: ensure your company isn’t shut out of rule 506 offerings under the sec’s “bad actor” disqualification rules

USA - October 15 2013 For years, issuers and broker-dealers have relied upon Rule 506 of Regulation D under the Securities Act of 1933, as amended (the "Act"), as a…

Why you should re-evaluate your independent contractors

USA - February 7 2012 In an uncertain economy, companies are often reluctant to commit to permanent hires and instead choose to rely upon independent contractors to meet their staffing needs.

Co-authors: Jennifer Berry.

SEC finalizes net worth standard for accredited investors

USA - January 3 2012 The Securities and Exchange Commission (the “SEC”) has adopted new rules for calculating whether an individual is eligible to participate in certain unregistered securities offerings as an “accredited investor”, as defined in Regulation D under the Securities Act of 1933, as amended (the “Securities Act”), by virtue of having a net worth exceeding $1,000,000.

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