Notice
27 Jun 2025
compliance, regulation, securities, investment, us, canada, retirement accounts
📈SEC Rule 237
The SEC has submitted a request for extension and approval concerning Rule 237, which allows Canadian-U.S. Participants to manage investments in Canadian retirement accounts without U.S. registration. The rule facilitates the offering and sale of foreign securities, requiring specific disclosures in offering documents to inform investors of the exemption from U.S. securities laws.
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Notice
28 May 2025
investment, financial regulations, canadian funds, us securities, retirement accounts
📈Analysis of SEC's Proposed Rule 7d-2 Impact on Canadian Funds
The Securities and Exchange Commission is soliciting comments on a proposed collection related to Rule 7d-2, allowing Canadian funds to offer securities to U.S. participants in tax-deferred retirement accounts. This aims to ease investment management for Canadians living in the U.S., detailing necessary disclosures and estimating paperwork burdens on fund issuers.
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