Interview with Leeza Garber (Part 2) – Digital Planning Podcast
Law School Toolbox Podcast Episode 231: Our Experience Working at the Polls on Election Day
I. EXECUTIVE SUMMARY - On 7 October 2020, the Securities and Exchange Commission (the SEC) adopted new rule 12d1-4 (Rule 12d1-4) and related amendments under the Investment Company Act of 1940 (the 1940 Act) that it believes...more
New Rules, Proposed Rules, Guidance and Alerts - NEW RULES - SEC Amends Financial Reporting Rules for Investment Company Business Combination Transactions - On May 20, 2020, the SEC adopted amendments to the...more
In an Order dated March 25, 2020, the Securities and Exchange Commission extended the exemptions offered to investment companies, business development companies (BDCs) and investment advisers grappling with challenges to the...more
In the inaugural issue of Investment Management Update, we summarize regulatory, litigation and industry developments from February 2019 to May 2019 impacting the investment management sector....more
Following a request from the Independent Directors Council (a registered investment company board advocacy group affiliated with the trade association Investment Company Institute), the SEC staff has provided relief from...more
On February 28, 2019, the Division of Investment Management (staff) of the Securities and Exchange Commission (SEC) issued a no-action letter (IDC letter) relaxing its views on “in person” voting requirements for investment...more