On April 8, 2020, the Securities and Exchange Commission (SEC) voted to adopt a series of rule and form amendments that are intended to modernize the registration, communication and offering processes for business development...more
4/22/2020
/ Business Development Companies ,
Closed-End Funds ,
Final Rules ,
Form 8-K ,
Incorporation by Reference ,
Investment Companies ,
Prospectus ,
Public Offerings ,
Regulatory Reform ,
Rule 486(b) ,
Securities and Exchange Commission (SEC) ,
Short-Form Registration
In recent weeks, the U.S. Securities and Exchange Commission (SEC) and market participants have dealt with the current and potential impact of the novel coronavirus COVID-19 pandemic. To help market participants remain in...more
4/10/2020
/ Board Meetings ,
Business Development Companies ,
Closed-End Funds ,
Coronavirus/COVID-19 ,
Exemptions ,
Filing Requirements ,
Liquidity ,
Listing Rules ,
NYSE ,
Open-Ended Fund Companies (OFCs) ,
Prospectus ,
Proxy Statements ,
Publicly-Traded Companies ,
Registered Funds ,
Regulatory Requirements ,
Relief Measures ,
Securities and Exchange Commission (SEC) ,
Shareholder Meetings ,
Trusts ,
Virtual Meetings
On March 20, 2019, the Securities and Exchange Commission (SEC) voted to propose a series of rule and form amendments, as directed by Congress under the Small Business Credit Availability Act (SBCA) and the Economic Growth,...more
4/22/2019
/ Broker-Dealer ,
Business Development Companies ,
Closed-End Funds ,
Disclosure Requirements ,
Economic Growth Regulatory Relief and Consumer Protection Act ,
Investment Companies ,
Investment Company Act of 1940 ,
Offering Communications ,
Offerings ,
Proposed Amendments ,
Prospectus ,
Registration Statement ,
Reporting Requirements ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Small Business Credit Availability Act (SBCAA) ,
Updated Forms ,
WKSIs ,
XBRL Filing Requirements
The Economic Growth, Regulatory Relief, and Consumer Protection Act (Consumer Protection Act), signed into law on May 24, 2018, includes certain provisions that are particularly relevant to investment companies, both...more
11/2/2018
/ Business Development Companies ,
Capital Investments ,
Closed-End Funds ,
Division of Investment Management ,
Economic Growth ,
Economic Growth Regulatory Relief and Consumer Protection Act ,
Financial CHOICE Act ,
Form S-3 ,
Incorporation by Reference ,
Investment Companies ,
Investment Company Act of 1940 ,
Offerings ,
Prospectus ,
Proxy Access Rule ,
Puerto Rico ,
Registration Requirement ,
Registration Statement ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shelf Registration ,
Small Business Credit Availability Act (SBCAA) ,
Venture Funding ,
WKSIs