David Stephens

David Stephens

Proskauer Rose LLP

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SEC Provides Temporary Relief and Guidance for Companies and Funds Affected by the Coronavirus

Exemptive Relief - The Securities and Exchange Commission (SEC) has issued an order (Order) providing temporary exemptive relief to public companies that are unable to meet filing deadlines due to circumstances related to...more

3/12/2020  /  Coronavirus/COVID-19 , Disclosure Requirements , Division of Investment Management , Exemptive Relief , Filing Requirements , Infectious Diseases , Investment Management , Proxy Statements , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

SEC Issues No-Action Relief Increasing Flexibility for Certain In-Person Director Voting Requirements

On February 28, 2019, the staff of the Division of Investment Management (the "Staff") of the Securities and Exchange Commission (the "SEC") issued a no-action letter permitting the board of directors of a registered fund or...more

3/5/2019  /  Auditors , Board of Directors , Chief Compliance Officers , Division of Investment Management , Investment Company Act of 1940 , Investment Funds , No-Action Letters , Private Right of Action , Securities and Exchange Commission (SEC)
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