Daniel D. Dex Partner Vancouver Tel : 604.691.6839 Fax : 604.893.7623 Email : daniel.dex@mcmillan.ca VCard :

Professional Activities

As a Partner in the U.S. Securities Group of the firm's Vancouver office, Daniel provides U.S. securities law advice to a broad range of companies that are traded in the United States. Daniel routinely assists companies in registering securities pursuant to registration statements under the Securities Act of 1933, as amended, and complying with their on-going disclosure requirements under the Securities Exchange Act of 1934, as amended. In addition, Daniel provides advice in connection with financing transactions and corporate governance issues, including compliance with the Sarbanes-Oxley Act. His experience also includes assisting clients with exchange listing applications and cross-border migrations. 

Prior to joining the firm, Daniel had a decade of securities and corporate law experience in the United States, first as a securities associate with Cleary Gottlieb Steen & Hamilton LLP in New York (1996-2001), and then as an in-house attorney for The New York Public Library, Astor, Lenox and Tilden Foundations (2001-2006), where he provided a broad range of legal advice relating to real estate, intellectual property and corporate governance matters.

Memberships

• Vancouver Bar Association
• Canadian Bar Association

Daniel provides U.S. securities counsel to a wide range of companies. His experience includes preparation and review of registration statements under the Securities Act of 1933, as amended, on Forms S-1, S-3, S-4 and S-8. In addition, he routinely prepares and reviews filings under Securities Exchange Act of 1934, as amended, on Forms 10-K, 10-Q, 40-F, 20-F, 8-K and 6-K. 

Some examples of Daniel's recent representative work include: 

• Acting for Uranium Energy Corp. in its US$22.3 million private placement of securities to placees in Canada, Europe and the United States and subsequent registration of such securities for resale pursuant to a registration statement on Form S-3 filed with, and declared effective by, the SEC, June 2009.
• Prepared and filed initial S-1 registration statements with the SEC  for various start-up companies and assisted in the process of having them quoted in the United States.
• Performed state securities law "blue sky" review and made required state filings on behalf of Continental Minerals Corporation in its merger with Great China Mining, December 2006.

Spring 2009 Ban on Naked Short-Selling in the U.S. InBrief Spring 2009

Fall 2008 The SEC Bans Naked Short Selling Securities Brief Fall 2008

September 2008 Emergency Restrictions on Short Selling in the United States, Canada and the United Kingdom