Anne Oberndorf

Eversheds Sutherland (US) LLP

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Updates on temporary exemptive relief: SEC provides continued relief for BDCs regarding in-person board meetings and co-investment

On January 5, 2021, the Securities and Exchange Commission (the SEC) issued a Public Statement updating the targeted regulatory relief that the SEC previously had granted in an effort to assist market participants, including...more

1/8/2021 / Board Meetings , Business Development Companies , Coronavirus/COVID-19 , Exemptive Relief , Investment Company Act of 1940 , Investment Management , Securities and Exchange Commission (SEC)

SEC creates fast track for exemptive applications

On July 6, 2020, the US Securities and Exchange Commission (the SEC) announced that it voted to adopt rule amendments (the Amended Rule) intended to improve the efficiency of the exemptive application review procedures...more

7/13/2020 / Amended Rules , Corporate Governance , Exemptions , Investment Company Act of 1940 , Securities and Exchange Commission (SEC)

The SEC feels the need for speed - SEC proposes amendments to exemptive application procedures

On October 18, 2019, the US Securities and Exchange Commission (the “SEC”) announced that it had voted to propose rule amendments intended to improve the efficiency of the exemptive application review procedures available...more

10/30/2019 / Business Development Companies , Comment Period , Exemptive Relief , Expedited Actions Process , Filing Requirements , Investment Company Act of 1940 , Legal History , Proposed Amendments , Securities and Exchange Commission (SEC) , Standard of Review

New SEC Guidance Adds Flexibility to BDC Co-Investing

The U.S. Securities and Exchange Commission (SEC) Division of Investment Management (the Division) just published guidance that will permit business development companies (BDCs) to co-invest with certain persons considered...more

12/9/2014 / Affiliates , Business Development , Business Development Companies , Equity Investors , Investment Company Act of 1940 , Limited Partnerships , New Guidance , Securities and Exchange Commission (SEC)

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