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2,115 results found

Article

Katten Muchin Rosenman LLP | USA | 12 Apr 2019

FINRA Proposes Rule Making Substantive, Organizational and Terminology Changes to the Corporate Financing Rule

On April 11, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed rule change to make certain

Article

Paul Weiss | USA, Global | 12 Nov 2018

Real estate financing in the USA

A structured guide to real estate financing in the USA

Article

McCarthy Tétrault LLP | USA, Canada | 25 Jul 2018

CSA Amendments to Simplify Reports of Exempt Distribution

On July 19, 2018, the Canadian Securities Administrators (“CSA”) published final amendments (the “Amendments”) to National Instrument 45-106 -

Article

Mayer Brown | USA | 16 Jul 2018

Securities-related Bills Approved by House Financial Services Committee

The House Financial Services Committee met last week and approved eight capital formation-related bills. The bills require the Securities and Exchange

Article

Bracewell LLP | USA | 12 Feb 2018

SEC's Office of Compliance Inspections and Examinations 2018 Examination Priorities

On February 7, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) published

Article

McCarthy Tétrault LLP | USA, Canada | 8 Nov 2017

Lessons from an Historic Mining IPO

The recently completed initial public offering by Nexa Resources S.A. (formerly, Votorantim Metais) on the Toronto Stock Exchange (the TSX) and the

Article

Baker McKenzie | USA | 18 Oct 2017

Relaxation of the Minimum Paid-Up Capital Requirements for Securities and Derivatives Operators

In August 2017 the Thai SEC issued a hearing paper on the reduction of minimum paid-up capital requirements for securities and derivatives operators

Article

DLA Piper | Canada | 10 Oct 2017

Revised rule for securities distributions outside of Canada

On June 29, 2017, the Ontario Securities Commission published for comment a revised OSC Rule 72-503 Distributions Outside Canada and its proposed

Article

Covington & Burling LLP | USA | 29 Sep 2017

Shortened T2 Settlement Cycle for Securities Transactions is Implemented

On September 5, 2017, the Securities Industry implemented a shortened standard settlement cycle for securities transactions from three business days

Article

Fasken | Canada | 15 Aug 2017

At-The-Market Offerings In The Canadian Capital Markets: Flexibility At A Lower Cost

When seeking to access capital in the public markets in an uncertain economy, traditional follow-on financing methods might not be the right choice

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