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Final rules eliminating the long-standing requirement that foreign private issuers1 reconcile financial statements in their SEC filings to U.S. generally accepted accounting principles2, as long as those financial statements have been prepared using International Financial Reporting Standards ( IFRS ) issued by the International Accounting Standards Board. The new rules, which will become effective on March 4, 2008, are intended to facilitate access to the U.S. capital markets by non-U.S. co.
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Principles2 FAQ
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Unlike Section 11, however, Rule 10b-5 applies to both public offerings and private placements.
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6110.1Foreign Issuer [Regulation C, Rule 405 and Exchange Act Rule 3b-4]: An issuer which is a foreign government, a foreign national or a corporation or other organization that is incorporated or organized under the laws of any foreign country.
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Rule 144 allows restricted securities to be resold by the holder without registration under the Securities Act after a holding period of one year for an issuer that does not report under the Exchange Act (six months for issuers that report under the Exchange Act and have been subject to reporting for at least 90 days).
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Rule 10b5-1 under the Exchange Act provides an affirmative defense from insider trading liability for corporate insiders and issuers effecting transactions in the issuer's securities pursuant to trading plans entered into in good faith and while not in possession of material nonpublic information.
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Rule 10b5-1 allows insiders to sell company stock by setting up a predetermined plan that specifies in advance the share price, amount, and transaction date. The insider selling the stock and the broker carrying out the transaction must certify that they are not aware of any material nonpublic information (MNPI).
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For decades, Foreign Private Issuers (“FPIs”) and their insiders have been exempt from the reporting requirements of Section 16 (“Section 16”) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) pursuant to Rule 3a12-3(b) under the Exchange Act.
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Special Treatment for Foreign Private Issuers under NASDAQ and NYSE 20% Rules. NASDAQ and the NYSE require stockholder approval before a company can sell or potentially issue securities equaling 20% or more of the issuer's common stock or voting power.
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Special Treatment for Foreign Private Issuers under NASDAQ and NYSE 20% Rules. NASDAQ and the NYSE require stockholder approval before a company can sell or potentially issue securities equaling 20% or more of the issuer's common stock or voting power.
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Learn more -
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Learn more -
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Learn more -
Preparing Your 2020 Form 20-F
Jan 2, 2021 — The rules will apply in respect of fiscal years ending on or after...
Learn more -
Does eliminating the Form 20-F reconciliation from...
by Y Kim · 2012 · Cited by 146 — In July 2007, the SEC issues a proposal to accept...
Learn more -
17 CFR § 230.405 - Definitions of terms.
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Learn more
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