In the knowledge hub you’ll find articles, FAQs, summary information tables, videos, and links to Alixe’s blog posts on the legal aspects of: raising capital; going public through a reverse merger, qualifying transaction, initial public offering or a Regulation A+ offering; listing requirements of various North American stock exchanges; U.S. Blue Sky Rules, and equity crowdfunding.
We have organized the information in this section in folders to make it easier for you to find what you are looking for. There are over 50 articles in the Raising Capital section alone. Click on the title of a section to reveal the material in that folder.
The content of these articles is not legal advice. They are solely for informational purposes.
Raising Capital
General Articles on Raising Capital
- “Anyone with money is a friend of mine.”* Traps to Avoid When Raising Private Placement Capital - Mar 24, 2022
- BC Securities Commission Order of Production - Feb 14, 2022
- Issuers and Registration: Understanding When It Is Required to Sell Securities - Aug 09, 2024
- Part One: Relying on the Close Personal Friends, Family and Business Associates Exemptions to Raise Private Placement Capital - Mar 24, 2022
- Part Three: Relying on the Offering Memorandum Exemption to Raise Private Placement Capital - Mar 24, 2022
- Part Two: Part Two: Relying on the Accredited Investor Exemption to Raise Private Placement Capital - Mar 24, 2022
- Private Placement Investigation: Sample Cover Letter & Questionnaire Sent to Investors by Securities Regulators - Feb 14, 2022
Accredited Investors
- Accredited Investor Verification Request Form - Feb 17, 2022
- An Introduction to the Accredited Investor Exemption - Oct 31, 2023
- Definition of Accredited Investor in United States - Feb 15, 2022
- Definition of an Accredited Investor in Canada - Feb 17, 2022
- Part Two: Part Two: Relying on the Accredited Investor Exemption to Raise Private Placement Capital - Mar 24, 2022
- Verifying Accredited Investor Status in Canada: Requirements and Best Practices - Oct 30, 2023
Equity Crowdfunding
- Equity Crowdfunding Portal Update and Slide Deck “Securities -Making Equity Crowdfunding Legal” - Mar 22, 2016
- Part Three: Is Culture Killing Equity Crowdfunding in Canada: Real Estate Spotlight - Oct 12, 2015
- Part Two: Is Culture Killing Equity Crowdfunding in Canada? - Oct 08, 2015
- Part II: Is Culture Killing Equity Crowdfunding in Canada?
- Part III: Is Culture Killing Equity Crowdfunding in Canada: Real Estate Spotlight
Offering Memorandum
- Offering Memorandum Compliance Checklist - Nov 09, 2025
- Part Three: Relying on the Offering Memorandum Exemption to Raise Private Placement Capital - Mar 24, 2022
- Preparing a Compliant Offering Memorandum - Nov 09, 2025
- The Definition of Eligible Investor in Canada - Feb 14, 2022
SEC Regulation A
Resale Rules and Secondary Trading of Securities
Resale Rules and Secondary Trading of Securities
Other Topics of Interest
Finders, Agents and Brokers
Private Company Sales and Acquisitions
Stock Options
Miscellaneous
- Due Diligence: The Due Diligence Checklist - Feb 17, 2022
- Understanding Class Rights and Series Rights in Canadian Corporations: A Strategic Guide for Founders and Entrepreneurs - Sep 17, 2025
Going Public
General Articles on Going Public
Initial Public Offerings
Reverse Takeovers
- Buyer Beware: Is That Shell Company a Shell? - Aug 31, 2015
- Canadian OTC Shell Companies: How They Differ From a US OTC Shell Companies - Sep 27, 2019
TSX Venture Exchange Capital Pool Companies
TSX Venture Exchange Qualifying Transactions
Securities Trading Markets
General Information About Securities Markets
- Master Chart of the Listing Requirements of the NYSE, NYSE American, Nasdaq, TSX, TSX Venture Exchange, Cboe Canada and CSE – September 25, 2023
- The Cost of Listing on a Stock Exchange or Obtaining a Quote in North America – February 14, 2022
The Canadian Securities Exchange
- Is the Appointment or Resignation of a Director or Officer Always Considered a Material Change of an Issuer? - Sep 17, 2025
TSX Venture Exchange
- A Five Year Review of Listings and Equity Raises on the TSX Venture Exchange – Jan. 1, 2014 to Dec. 31, 2018 - Sep 27, 2019
- Is the Appointment or Resignation of a Director or Officer Always Considered a Material Change of an Issuer? - Sep 17, 2025
- Listing Requirements of the TSX Venture Exchange (TSX-V) – Exploration and Mining Companies - Sep 25, 2023
- Listing Requirements of the TSX Venture Exchange (TSXV) – Industrial, Technology, Life Sciences, Real Estate and Investment Companies - Sep 25, 2023
TSX
- Is the Appointment or Resignation of a Director or Officer Always Considered a Material Change of an Issuer? - Sep 17, 2025
- Listing Requirements of the Toronto Stock Exchange (TSX) – Exploration and Mining Companies - Sep 25, 2023
- Listing Requirements of the Toronto Stock Exchange – TSX – Industrial, Tech., Research & Dev. Issuers – September 25, 2023
NASDAQ
- Listing Requirements of the NASDAQ Stock Market - Sep 25, 2023
NYSE American
- Listing Requirements of NYSE American - Sep 25, 2023
New York Stock Exchange – NYSE
- Listing Requirements of the New York Stock Exchange – NYSE – September 25, 2023