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1,044 results found

Article

Troutman Pepper | USA | 14 Apr 2020

SEC Grants Additional COVID-19 Relief to Business Development Companies

On April 8, the SEC issued an order granting relief to business development companies (BDCs) by permitting BDCs to issue and sell senior securities…
Article

Kilpatrick Townsend & Stockton LLP | USA | 5 Mar 2020

The SEC Announces Conditional Regulatory Relief for Companies Affected by the Coronavirus Disease 2019 (COVID-19)

On March 4, 2020, the Securities and Exchange Commission (SEC) issued an exemptive order to assist publicly traded companies that have significant…
Article

Skadden Arps Slate Meagher & Flom LLP | USA | 2 Mar 2020

Annual Meeting Filing and Disclosure Requirements

When finalizing proxy materials for annual shareholder meetings, companies should consider the following U.S. Securities and Exchange Commission (SEC)…
Article

Bass, Berry & Sims PLC | USA | 18 Feb 2020

SEC Staff Comments on Chegg’s Data Breach Disclosure and Response; A Real Life Example

One thing I appreciate about the SEC comment letter process is that it gives real life examples to what is often discussed hypothetically. Take, for…
Article

Skadden Arps Slate Meagher & Flom LLP | USA | 22 Apr 2019

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

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…
Article

Steptoe & Johnson LLP | USA | 3 Apr 2019

Supreme Court Rules in Lorenzo v. SEC

On March 27, 2019, the US Supreme Court's decision in Lorenzo v. Securities and Exchange Commission resolved the issue of whether a securities fraud…
Article

Wilmer Cutler Pickering Hale and Dorr LLP | USA | 3 Apr 2019

Confidential Treatment Process Gets Easier

The SEC has approved rule changes that significantly simplify the process for public companies to redact confidential information from the exhibits…
Article

Kramer Levin Naftalis & Frankel LLP | USA | 1 Apr 2019

SEC Proposes Streamlining Offering Rules for Closed-End Funds and BDCs While Also Proposing New Reporting Obligations

In March 2019, the SEC, at the direction of Congress, proposed rules (the “Proposed Rules”) to modify the registration, communications, and offering…
Article

K&L Gates LLP | USA | 29 Mar 2019

Offering Reforms or Burdensome Regulations? It Depends!

On March 20, 2019, the Securities and Exchange Commission (“SEC”) proposed several rules (the “Proposed Rules”) that would modify the registration…
Article

Mayer Brown | USA | 28 Mar 2019

Mitigating the Impact of a Material Weakness on the Election of Directors

Where companies have disclosed repeated or ongoing material weaknesses in internal controls over financial reporting, or where a company’s first…
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