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Springtime for BDCs - Congress passes long-sought legislation in spending bill

On March 23, 2018, Congress passed its omnibus spending bill, the Consolidated Appropriations Act of 2018, to fund the federal government until October. Included within the spending bill is legislation, titled the Small...more

Considerations for the 2018 proxy season

Companies preparing for their annual shareholder meetings will need to consider a variety of factors, including new Securities and Exchange Commission (SEC) requirements, guidance from Institutional Shareholder Services, Inc....more

How Will the SEC Operate in the Event of a Government Shutdown?

The US Securities and Exchange Commission (SEC) has issued an “Operations Plan Under a Lapse in Appropriations and Government Shutdown” (the Operations Plan), which details how the SEC will operate in the event of a...more

SEC Staff Provides Disclosure and Accounting Guidance in Response to Recent Tax Reform Legislation

On December 22, 2017, President Trump signed into law tax legislation commonly referred to as the Tax Cuts and Jobs Act (the Tax Bill). The Tax Bill made significant changes to corporate taxation, including, among other...more

Proposed Changes Would Further Modify NYSE Rules on Public Company Announcements

On August 29, 2017, the Securities and Exchange Commission (SEC) published a New York Stock Exchange (NYSE) proposal that would bar companies from issuing material news at the end of the trading day until after designated...more

Reminder: SEC Requires Hyperlinks to Exhibits in Certain Filings Made On or After September 1, 2017

On March 1, 2017, the Securities and Exchange Commission (the SEC) approved rule changes that are designed to facilitate easier and more efficient access to documents that are listed as exhibits to certain SEC filings. For...more

Sutherland Submits Comment Letters on Two SEC Rulemaking Projects Pertinent to Business Development Companies

In response to requests for comment from the U.S. Securities and Exchange Commission (SEC), Sutherland Asbill & Brennan LLP recently submitted comment letters on two SEC rulemaking projects pertinent to business development...more

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

Legal Alert: Largest SEC Whistleblower Award Could Have Been Larger

On September 22, 2014, the U.S. Securities and Exchange Commission announced the largest-ever whistleblower award, more than double last year’s record-breaking award. According to the Order, the award, which will likely...more

SEC Launches First Whistleblower Retaliation Case Under Dodd-Frank

On June 16, 2014, the U.S. Securities and Exchange Commission (SEC) initiated and resolved its first case charging an employer with unlawfully retaliating against a securities whistleblower under the Dodd-Frank Wall Street...more

SEC Issues $875,000 Whistleblower Award

On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more

SEC’s Office of the Whistleblower Warns Companies and Inside Counsel Against Using Employment Incentives to Deter External...

During a recent panel discussion at the Georgetown University Law Center’s 18th Annual Corporate Counsel Institute, the head of the U.S. Securities and Exchange Commission’s Office of the Whistleblower, Sean McKessy, warned...more

M&A Brokers Exempt from SEC Broker-Dealer Registration Requirements

On January 31, 2014, the U.S. Securities and Exchange Commission’s (SEC) Division of Trading and Markets issued a No-Action Letter (Letter)1 that allows a private business broker (M&A Broker) to receive transaction-based...more

Legal Alert: Final Volcker Rule: Update and Key Takeaways for Private Funds

On December 10, 2013, the Federal Reserve Board (FRB), the Federal Deposit Insurance Corporation (FDIC), the Office of the Comptroller of the Currency (OCC), the Securities and Exchange Commission, and the Commodity Futures...more

Legal Alert: The Volcker Rule: The Rising Appeal of Registered Investment Companies and BDCs

On December 10, 2013, the U.S. Federal Reserve, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Commodity Futures Trading Commission, and the Securities and Exchange Commission...more

Federal Courts Take Divergent Approaches to Jury Trials for Whistleblower Plaintiffs Under Dodd-Frank and Sarbanes-Oxley

A recurring question under the federal whistleblower laws is whether plaintiffs suing their employers for retaliation have the right to a jury trial. The Dodd-Frank Wall Street Reform and Consumer Protection Act1 appears...more

SEC Order Denying Whistleblower Claim Confirms Prospective Coverage and Limited Discovery in Dodd-Frank Bounty Proceedings

In a recent order denying a whistleblower’s award claim,1 the U.S. Securities and Exchange Commission upheld the prospective application and discovery limitations of two of its rules implementing the Dodd-Frank Wall Street...more

Legal Alert: Private Offerings: The SEC Lifts Ban on General Solicitation But Proposes a Hefty Regulatory Burden in Return

During an open meeting of the U.S. Securities and Exchange Commission (the SEC) on July 10, 2013, the SEC adopted a rule that lifts the ban on general solicitation of unregistered securities offerings and paves the way for...more

Legal Alert: Southern District of New York Endorses Extension of Dodd-Frank's Retaliation Protections to Internal Whistleblowers

In Murray v. UBS Securities, LLC, a federal judge in the Southern District of New York recently held that Dodd-Frank’s whistleblower protections can extend to employees who do not qualify as statutory “whistleblowers.”...more

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