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SEC Issuer
Practical Law Canada Glossary 8-575-5278 (Approx. 2 pages)
Glossary
SEC Issuer
Under sections 70 and 71.1(3)(b) of Canada Business Corporations Regulations and section 1.1(1) of National Instrument 51-102 — Continuous Disclosure Obligations (NI 51-102), an SEC issuer:
- Has securities registered under section 12 of the Securities Exchange Act of 1934 of the United States or is required to file reports under section 15(d) of the 1934 Act.
- Is not registered or required to be registered as an investment company under the Investment Company Act of 1940 of the United States.