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SEC Adopts Amendments to Portions of Regulation S-K and to the Definitions of “Accredited Investor” and “Qualified Institutional...

The Securities and Exchange Commission (SEC) adopted amendments on Wednesday to portions of Regulation S-K and to the definitions of “accredited investor” and “qualified institutional buyer." ...more

SEC Revises BDC Financial Disclosure Rules Related to Acquisitions and Dispositions

Overview - Currently, registered investment companies and business development companies, or BDCs, are required to comply with Rule 3-05 of Regulation S-X in connection with acquisitions of other investment companies and...more

SEC Announces Proposal of New Framework for Fund Valuation

The U.S. Securities and Exchange Commission (SEC) recently announced its proposal of new Rule 2a-5 (the “Proposed Rule”) under the Investment Company Act of 1940 (1940 Act) to establish a framework for fund valuation...more

SEC Provides Temporary, Conditional Relief for Business Development Companies

In the current environment, business development companies (BDCs) are facing unique challenges. The Securities and Exchange Commission has announced temporary and conditional relief for BDCs to allow them to manage through...more

SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Investment Companies

On April 8, 2020, the Securities and Exchange Commission (SEC) adopted final rules to implement certain provisions of the Small Business Credit Availability Act and the Economic Growth, Regulatory Relief, and Consumer...more

SEC Guidance and Relief During COVID-19 Pandemic

The Securities and Exchange Commission has been actively providing guidance and relief to issuers and other market participants amid the COVID-19 pandemic and has stated it may extend the relief granted if warranted by...more

SEC Extends “Test-the-Waters” Accommodation to All Issuers

The SEC announced today that it has adopted new Rule 163B, which will extend the “test-the-waters” accommodation, previously available only to emerging growth companies (“EGCs”), to all issuers. ...more

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