Canadian Securities Law News summarizes all recent developments in securities regulation across Canada, including changes to federal and provincial statutes and regulations, Policy Statements by Securities Commissions, by-laws of the Investment Dealers Association of Canada and the Investment Funds Institute of Canada, and by-laws of stock exchanges.

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Published: September 2014

Get the most accurate and current information on British Columbia securities legislation. Annotated British Columbia Securities Legislation, 9th Edition has been prepared in consultation with the British Columbia Securities Commission and the Vancouver office of McCarthy Tétrault LLP.

What's included:

• Everything in the five-digit numbering system in force as of July 1, 2014
• Updated Tables of Concordance to help you quickly compare requirements in different jurisdictions
• Updated Topical index to help you find relevant references quickly and easily
• History notes and pending amendments to the British Columbia Securities Act to help you conduct accurate research
• ALL NEW Case Table to help you navigate quickly to relevant case annotations

What's new in the 9th Edition:

• Revised annotations to the British Columbia Securities Act, updated July 1, 2014
• New amendments to the British Columbia Securities Act and Securities Regulation
• All new and amended national and British Columbia securities documents, including:
  – Amended BC Form 15-901F, Summons to Attend before an Investigator Under Section 144
  – Amended BC Form 15-902F, Demand for Production under Section 144
  – New BC Instrument 31-510, Exemption for Investment Industry Regulatory Organization of Canada Members from Obligation to Provide Relationship Disclosure to Existing Clients
  – Amended BC Instrument 32-517, Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities
  – New BC I

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Loss and Seligman's Securities Regulation is all-encompassing – covering everything from the SEC's integrated disclosure program, to the theoretical underpinnings of today's regulations, to the “shelf registration rule.”

In nearly 6,000 pages of discussion and analysis, it clarifies countless questions, so you're sure to find coverage of the “small point” on which your case may turn. You'll save hours of research time...get the answers you need when you need them...and be confident that the information is backed by the field's premiere authorities on securities regulation.

Plus, through supplementation and revised volumes, this edition keeps pace with the ever increasing volume of litigation by including comprehensive examination of recent developments and court cases.

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Securities Regulation in Cyberspace offers lawyers, business executives, and financial professionals the first comprehensive, up-to-date, and integrated guide to the legal and business challenges involved in raising capital, maintaining investor relations, and trading securities online. In one convenient volume, world-renowned securities law expert Howard M. Friedman provides a thorough and incisive analysis of the interweaving of technology and securities laws.

To be sure your knowledge stays on the cutting edge, it will be updated annually with analysis of critical regulatory and legal developments impacting securities considerations in cyberspace.

Topics covered:

• Securities Act compliance in online offerings
• Electronic delivery of SEC documents
• Private placement and direct public offerings through the Internet
• Blue-sky laws in cyberspace
• Investor relations on the World Wide Web
• Internet marketing of mutual funds
• Proxy statements and annual meetings in an electronic era
• Tender offers and takeovers using Internet technology
• Securities fraud in cyberspace
• Brokerage firms' use of Internet technology
• Investment advisors online

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This title is available as an eBook.

What's an eBook?
An eBook is a digital version of a conventional printed book. Portable and perfect for your office or home, the eBook is easy to access from wherever your business may take you.

Adobe Digital Editions is a highly recommended free download eBook program designed to view and keep your eBooks organized and centralized.

Published: August 2014

Annotated Ontario Securities Legislation, 41st Edition provides essential information for practitioners dealing with securities laws in Ontario, including:

• Full text of the Ontario Securities Act, Regulation, and Forms
• Ontario Securities Commission (OSC) Rules, Policies, and Notices
• National Instruments and Policy Statements
• Canadian Securities Administrators (CSA) and Ontario Securities Commission (OSC) Notices
• Rules of Procedure

It also provides current changes to the Ontario securities regulatory scheme, plus extensive annotations from Canada’s top securities law experts at McCarthy Tétrault LLP.

What's new in the 41st Edition:

• New amendments to National Instrument 31-103, Registration Requirements, Exemptions and Ongoing Registrant Obligations, and Companion Policy 31-103CP, which came into force on May 1, 2014, as well as proposed amendments, which are expected to come into force on July 15, 2014, 2015, and 2016
• Proposed amendments to National Instrument 81-101, Mutual Fund Prospectus Disclosure, which are expected to come into force on June 13, 2014
• Amendments to OSC Rule 81-801, Implementing National Instrument 81-106, Investment Fund Continuous Disclosure, effective January 1, 2014
• The updated version of OSC Staff Notice 15-702, Revised Credit for Cooperation Program, replaced March 11, 2014
• New CSA Staff Notice 45-314, Consolidated List of Current CSA Exempt Market Initiatives, issued on March 20, 2014

Contributors
Michael C. Nicholas
Ian C . Michael<

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An essential compliance tool for every privacy officer and attorney involved in managing privacy and data security issues, Privacy and Data Security Law Deskbook provides the thorough, practical, sector-specific guidance that helps you meet today's challenges and minimize the risk of data breaches that can damage a company's reputation.

It enables you to comply with data privacy laws relating to:

• Marketing efforts – including standards governing online behavioral advertising and targeted marketing
• Privacy in the workplace – such as standards governing employee monitoring and background screening of employees and applicant
• Health information – focusing on the Health Insurance Portability and Accountability Act (HIPAA), with insight into the HITECH Act's impact on data breaches and other recent changes
• Financial privacy – including the Gramm-Leach-Bliley Act's regulations for the collection and disclosure of personal information in the banking and insurance industries
• Consumer reports – with detailed coverage of the Fair Credit Reporting Act and Fair and Accurate Credit Transactions Act
• Government surveillance – including the latest developments in warrantless wiretapping
• Social networking – including the FTC's current approach

Packed with sample documents, checklists, and other compliance-enabling tools, this resource allows you to:

• Navigate the various breach notification requirements in the more than 45 states that have such laws in place
• Comply with global data protection laws (including those in the EU), facilitating compliance with cross-border data transfer restrictions
• Keep current with emerging legal trends, from changes in federal and state laws to the latest data privacy regulations abroad

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Federal Securities Law Reporter is a comprehensive resource covering the federal laws and rules that regulate the issuance and trading of securities, corporate disclosure, insider reporting, broker-dealer requirements and duties, self-regulatory organizations, investment companies, investment advisers, and accountants and attorneys practicing before the Securities and Exchange Commission.

It provides the full text of the Securities Act of 1933, the Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002, the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010, and other federal securities laws, as well as the regulations and forms of the SEC. It includes explanations that discuss, summarize and coordinate law, rule interpretations and court decisions.

It also includes the full text of court opinions deciding issues of federal securities law, all SEC rulemaking releases and other selected SEC releases and no-action letters. It is organized by act, with SEC rules, CCH explanations, and other materials located among the act sections to which they relate.

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Published: April 2014

Informal and student-friendly, this study guide gives an overview of federal securities regulation and illustrates the topic with practical applications. Examples and Explanation Series: Securities Regulation, Sixth Edition combines clear introductions with examples and explanations that test students’ understanding of concepts and give them practice applying the law to fact patterns—many drawn from current events.

Features:

• Updates on recent Supreme Court rulings: Amgen Inc. (proof of materiality); Suisse Securities (statute of limitations); Janus Capital (making of false statements); Halliburton (proof of loss causation); Matrixx Initiatives (materiality); Morrison (extraterritorial securities fraud)
• The new JOBS Act: new definitions of "public company"; disclosure and internal-control exemptions for "emerging growth companies"; broader marketing of private placements; new mini-public offering registration process; and new registration exemptions and liability scheme for "crowdfunding"
• Actual use (with charts) of the various registration exemptions exemptions under the Securities Act of 1933, including intrastate, Reg D, Reg A and statutory 4(2) offerings.
• The status of recent high-profile securities litigation, including fraud in the marketing of subprime mortgages, largest-ever insider trading convictions
• New, updated examples and explanations based on recent developments: class action litigation under Rule 10b-5, fraud in selling mortgage-backed securities, liability for inaccurate credit ratings, exemptions under JOBS Act

Table of Contents:

• Summary of Contents Contents Preface Acknowledgments Special Notice
• Chapter 1 Introduction to Securities Markets and Regulation
• Chapter 2 Definition of Security
• Chapter 3 Materiality
• Chapter 4 Registration of Securities Offerings
• Chapter 5 Exemptions from Securities Act Registration
• Chapter 6 Securities Act Liability
• Chapter 7 Secondary and Other Postoffering Distributions
• Chapter 8 Securities Exchange Act of 1934
• Chapter 9 Rule 10b-5
• Chapter 10 Insider Trading
• Chapter 11 Regulation of Securities Industry
• Chapter 12 Public Enforcement
• Chapter 13 U.S. Regulation of Cross-Border Securities Transactions Table of Cases Index

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This handbook and bonus CD-ROM provides an up-to-date guide to structuring and negotiating profitable corporate alliances, covering both the strategic benefits and potential risks involved. In straightforward language, this practical resource explains the proprietary rights issues involved and then walks the reader through the chronology of a deal, from the definition of objectives to the decision to seek an alliance, identification of potential partners, negotiations and closing.

Corporate Partnering is packed full of the latest forms covering all aspects of strategic alliances and annotated with crisp, clear commentary explaining the real-world issues addressed by each provision and showing how alternative solutions can be used to accomplish different aims. These carefully crafted agreements cover the broad range of areas from supply and distribution, product and technology, research and development to investment and investment-related arrangements.

Thoroughly revised and updated to reflect the latest developments, the Fourth Edition includes new sections on spin-out transactions, virtual companies and off-shoring arrangements, plus updated transaction forms, intellectual property summary and partnering transactions checklists.

Table of contents:
Chapter 1 Corporate Partnering/Strategic Alliances
Chapter 2 Preliminary Agreements
Chapter 3 The Alliance Agreements
Chapter 4 Equity Investments by One Partner in the Other
Chapter 5 Partnering with Universities and Non-Profit Research Institutes
Chapter 6 Spin-Out Transactions
Chapter 7 Life Sciences Transactions
Chapter 8 Software, Semi-Conductor and New Media Development and Licensing Arrangements
Chapter 9 Virtual Company/Outsourcing/Off-Shoring Agreements
Chapter 10 Teaming Agreement

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Corporate Finance and the Securities Laws has been winning over practitioners with its clear "how to do it" approach ever since its publication in 1990. This acclaimed guide is now completely updated in this Fourth Edition to help you meet the challenges of raising capital in today's increasingly regulated marketplace.

Written in plain English by two top experts in the field, this guide is the go-to resource that explains the mechanics of corporate finance together with the statutes that govern each type of deal.

You will receive expert corporate finance analysis, procedural guidance and practical securities law pointers every step of the way to help you structure all types of corporate finance deals, root out problems before deals are put in motion, shepherd transactions through the regulatory process and know what to do when securities law problems crop up.

Table of Contents:

• Chapter 1: Overviews of the Securities Act of 1933 and the Integrated Disclosure System
• Chapter 2: Syndicate Procedures and Underwriting Documents
• Chapter 3: Selected Issues in the Registration and Distribution Process
• Chapter 4: Manipulative Practices and Market Activities During Distributions
• Chapter 5: Liabilities and Due Diligence
• Chapter 6: Rules of the Self-Regulatory Organizations
• Chapter 7: Private Placements
• Chapter 8: Shelf Registrations (Rule 415)
• Chapter 9: International Financings
• Chapter 10: Commercial Paper
• Chapter 11: Innovative Financing Techniques
• Chapter 12: Convertible, Exchangeable and "Linked" Securities; Warrants
• Chapter 13: Transactions with Securityholders: Stock Repurchases, Debt Restructurings and Rights Offerings
• Chapter 14: Asset-Backed Securities

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Published: November 2012

Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers provides foreign securities and investment firms with essential information they need about Canadian securities regulatory licensing requirements.

Written with Canada’s top securities law experts at McCarthy Tétrault LLP, this resource serves as a comprehensive guide to foreign securities and investment firms seeking Canadian clients. In short, anyone who has clients conducting securities business in Canada will require this resource. Foreign investment managers will also require this information to act as an investment fund manager in Canada.

The book covers topics that should be addressed by non-residents before trading securities or providing investment advice to any person or company within Canada.

What's included:

• Dealer registration
• Adviser registration
• Investment fund manager registration
• Prospectus requirements

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Barker Library - TH880.H358 2019

Rotch Library - NA2760.V463 R62 2019

Rotch Library - TH7697.A3 H34 2018

Rotch Library - NA687.A8524 2019

Online Resource

Rotch Library - SB470.V34 V34 2019

Whether you have to handle a CPP or OAS claim, calculate and remit withholdings on employee compensation, or ascertain the employment status of a contractor, Annotated Canada Pension Plan and Old Age Security Act, 14th Edition, 2015 is for you. This handy work is the only portable, one-stop resource in this area for professionals on the go.

The section-by-section annotations and exhaustive cross sections throughout give you expert commentary and explanations of the legislative provisions, the regulations, and court and tribunal decisions regarding CPP and OAS issues. The book also offers up-to-date coverage of pending legislation and new cases, as well as key decisions of the Pension Appeals Board.

Highlights of new information in the 14th Edition include:

• Amendments implemented by the Jobs, Growth and Long-Term Prosperity Act (Bill C-38), including a summary of the new appeal regime and annotations to the provisions creating the Social Security Tribunal
• All significant Federal Court of Appeal decisions on vital issues such as whether a per diem compensation rate is ‘‘fixed and ascertainable’’ (MNR (Canada) v. Ontario); right to appeal on CPP matters from the Tax Court of Canada (Davitt); online accessibility for claimants (Jodhan); interest award where erroneous information given by the Minister (Bartlett); approach of tribunal where claimant doesn’t appear (Evans); need to refer to every piece of evidence (Simpson and Brennan); motions in the Federal Court of Appeal (McMeekin); evidence on judicial review (McLaughlin); and extension of time (Daoud).
• Important Federal Court decisions, including new authority on when written reasons for granting leave to appeal to the PAB are mandatory
• Updated dollar amounts for YBE (for general and disability claims), YMPE and other statistics throughout;
• New types of disability claims.

The Honourable Gordon Killeen, Q.C., is an active member of the Pension Appeal Board and retired justice of the Ontario Superior Court. His conference lectures in recent years have been influential in the evolution of CPP disability law.

Andrew James is a legal writer. He is the co-author of Ontario Superior Court Practice (with Mr. Justice Todd Archibald, The Honourable Gordon Killeen, Q.C. and James Morton), and Ontario Family Law Practice (with Justice David Steinberg, Justice Craig Perkins and Esther Lenkinski).

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The essential publication for anyone dealing with CPP or OAS issues.

Dealing with CPP or OAS questions and concerns can be difficult because of the procedural, evidentiary and substantive issues that inevitably arise. But, when you have your copy of the Annotated Canada Pension Plan and Old Age Security Act, 10th Edition, 2011 handy, dealing with these issues becomes much faster and easier.

The section-by-section annotations provide you with expert commentary, opinions and explanations of the legislative provisions, regulations and court decisions concerning CPP and OAS issues. It also covers pending legislation and new scases, plus the decisions of the Pension Appeals Board and the Review Tribunal.

The Honourable Gordon Killeen, Q.C., of the Ontario Superior Court of Justice, is an active member of the Pension Appeal Board. His conference lectures in recent years have been influential in the evolution of CPP disability law.

Andrew James is a legal writer. He is the co-author of Ontario Superior Court Practice (with Mr. Justice Todd Archibald, The Honorable Gordon Killeen, Q.C. and James Morton), and Ontario Family Law Practice (with Justice Craig Perkins and Esther Lenkinski).

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The essential publication for anyone dealing with CPP or OAS issues.

• Coming into force of amendments reducing the contributory requirements for disability benefits for contributors with at least 25 years of contributions
  
• Streamlining of standard of review rules by Supreme Court of Canada
  
  
• Ground-breaking new Federal Court of Appeal decisions on issues such as:
  - capacity to apply for benefits
  - right of Government to be heard on a motion to rescind a final and binding decision
  - admissibility of new medical evidence

• The latest Pension Appeal Board decisions on CPP claims and Review Tribunal decisions on OAS claims, as selected by the experts

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Loevner, Laurie A., author

Senger, P. L. (Phillip L.), author