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Legal Updates

Beyond the Legend: Navigating Rule 144 and Section 4(a)(1) for Securities Resale

Navigating Rule 144 and Section 4(a)(1) for Securities Resale For companies and their shareholders, the ability to freely trade securities is paramount. However, certain...

The 5% Rule: What Every Investor Needs to Know About Schedule 13D and 13G Filings

For investors and legal counsel dealing with a Canadian public company, it’s crucial to understand a key fact: some Canadian issuers are subject to...

SEC’s EDGAR Next: A Must-Know for Filers and Their Legal Teams

The SEC has rolled out EDGAR Next, a major upgrade to its filing system. It started on March 24, 2025, and it changes how...

U.S. Issuer’s Guide to Regulation A+ and the Evolving OTC Tiers

For U.S. companies seeking to raise capital and gain public visibility without the full complexities of a traditional IPO, Regulation A+ (Reg A+) offers...

Unlocking U.S. Capital: A Canadian Issuer’s Strategic Guide to Regulation A+ Qualification

If you are a Canadian company with sights set on the immense U.S. capital markets, there’s a compelling alternative to the traditional, often daunting,...

Navigating U.S. Investor Relations: A Guide for Marketing and Promotional Firms

For marketing and promotional firms working with non-U.S. companies on investor relations (IR) campaigns in the United States, understanding U.S. securities laws and market...

Crowdfunding Under Regulation CF: A Path to Capital, and Alternatives for Canadian Issuers

Crowdfunding Under Regulation CF: A Path to Capital, and Alternatives for Canadian Issuers Crowdfunding has emerged as a powerful tool for businesses to raise...

Navigating Rule 506(c) Private Placement Transactions: Understanding the Latest SEC Guidance

Navigating Rule 506(c) Private Placement Transactions: Understanding the Latest SEC Guidance Rule 506 of Regulation D is a cornerstone for private placement transactions in...