Posts Tagged ‘Securities’
USA – Regulation D
Regulation D, often referred to simply as “Reg D,” is a key provision in U.S. securities law that allows companies to raise capital without going through the lengthy, expensive process of registering with the Securities and Exchange Commission (SEC). Here’s what you need to know about Reg D, its exemptions, and its impact on companies and investors.
Read MoreUSA – Regulation A
Regulation A is designed to help small and mid-sized businesses access public capital in a cost-effective way. This article explores the key features of Regulation A, its two tiers, benefits, limitations, and why it matters for companies and investors alike.
Read MoreCanada – Accredited Investor Exemption
In Ontario, securities laws protect investors by requiring companies to file a prospectus—a detailed document outlining an investment’s risks and benefits—when offering securities to the public. In this post, we’ll dive into the accredited investor exemption, the qualifications for accredited investors, and what this means for both investors and issuers.
Read MoreCanada – Offering Memorandum Exemption
In Ontario, the Offering Memorandum (OM) Exemption under the National Instrument 45-106 allows companies to raise capital from retail investors without the need for a full prospectus. Here’s an in-depth look at how the OM exemption works, its requirements, and what it means for companies and investors alike.
Read MoreCanada – Exemptions to the Prospectus Requirement
In Ontario, securities laws are structured to protect investors while facilitating capital-raising opportunities for businesses. This article explores these exemptions, how they work, and what they mean for companies and investors.
Read MoreCanada – Exempt Market Dealers
In this article, we’ll explore what exempt market dealers (EMDs) are, how they operate, the types of investments they offer, and what this means for investors and issuers in Ontario and across Canada.
Read MoreCanada – Regulation of ‘Finders’
A finder is an individual or firm that introduces investors to companies seeking capital, usually in exchange for a fee or commission. Here, we’ll discuss what finders do, how they are regulated, and what businesses and finders should consider to stay compliant.
Read MoreCanada – ‘Business Trigger’ for Registration
In Ontario securities law, the concept of the “business trigger” is crucial in determining when an individual or company must register with the Ontario Securities Commission (OSC). In this article, we’ll explore what the business trigger is, how it applies, and what it means for market participants.
Read MoreCanada – The Registration Requirement
In Ontario, securities laws are designed to protect investors and ensure the integrity of the financial markets. In this article, we’ll explore the registration requirement, its purpose, types of registration categories, exemptions, and what it means for market participants.
Read MoreCanada – Trading Through an EMD – Exemption to Registration
Using a third party EMD for processing trades can be an exemption to registration with the OSC.
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