Author: Daniel Miller
Dan Miller helps Canadian clients who are accessing capital, listing on stock exchanges, engaging in strategic transactions or otherwise doing business in the United States. He is a partner in Dorsey's Corporate group and head of the Vancouver office. His practice focuses on U.S.-Canada cross-border securities transactions, mergers and acquisitions, and corporate governance matters.
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As discussed in more detail here, on August 6, 2021, the United States Securities and Exchange Commission (the “SEC”) approved NASDAQ Rules 5605(f) and 5606, which require each NASDAQ listed company (subject to certain narrow exceptions) to (i) publicly disclose, to the extent permitted by applicable law, information on the voluntary self disclosed gender, racial...
During the current coronavirus crisis, the SEC has issued an Order providing filing extensions that apply to Canadian issuers. The following is a summary of the SEC’s new filing requirements. Form 40-F For Canadian issuers eligible to file their SEC annual report on Form 40-F under the Canada-U.S. Multi-jurisdictional Disclosure System (“MJDS”), Form 40-F continues...