Blanket order provides relief from certain financial statement-related requirements
The regulator hasn’t decided whether new exemptions, such as one for crowdfunding, are warranted
The rapid development of the exempt market and its increasing complex products prompt EMP course revision
Raintree Financial Solutions strikes strategic alliance with Pennant Capital Partners
Exempt Logic is designed to streamline work and increase transparency between dealers and issuers
Regulators getting pushback to their attempts to increase oversight of U.S.-based dealers in Canada having exempt-market registration
State securities regulators and investor advocates want the SEC to back away from plans to allow the mass marketing of exempt market offerings
Exempt market dealer failed to comply with securities laws and provided deficient financial filings
CFO program is the first of its kind in Canada for exempt market dealers
Committee to advise regulator’s staff on potential new prospectus exemptions