On February 28, 2019, the Chief Counsel’s Office of the Securities and Exchange Commission’s Division of Investment Management issued a letter stating its no-action position regarding certain in-person voting requirements...more
On February 19, 2019, the Securities and Exchange Commission (SEC) announced a proposal to expand the “testing-the-waters” exemption to all issuers. Currently the exemption is limited to emerging growth companies (EGCs)....more
2/25/2019
/ Accredited Investors ,
Business Development Companies ,
Emerging Growth Companies ,
Exemptions ,
Initial Public Offering (IPO) ,
Institutional Investors ,
Investment Company Act of 1940 ,
JOBS Act ,
Proposed Rules ,
Registered Investment Companies (RICs) ,
Registration Statement ,
Safe Harbors ,
Securities and Exchange Commission (SEC)