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453 results found

Article

Skadden Arps Slate Meagher & Flom LLP | USA | 23 Nov 2020

SEC Adopts Rules for Use of Derivatives by Registered Investment Companies

On October 28, 2020, the Securities and Exchange Commission (SEC) voted to adopt new rules and rule and form amendments designed to provide an updated…
Article

Kramer Levin Naftalis & Frankel LLP | USA | 28 Oct 2020

SEC Adopts New Rules Regarding Use of Derivatives by Registered Investment Companies and Business Development Companies

On Oct. 28, 2020, the Securities and Exchange Commission (SEC) voted to adopt a new rule (Rule 18f-4) and other related amendments, significantly…
Article

Thompson Hine LLP | USA | 21 Oct 2020

SEC Adopts New Rule for Fund of Funds Arrangements

On October 7, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule), which establishes a comprehensive regulatory framework for fund…
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

Ropes & Gray LLP | USA | 3 Apr 2020

SEC Schedules Open Meeting to Consider Adopting Rules that Would Extend Securities Offering Reforms to Closed-End Funds and Business Development Companies

The SEC has scheduled an open meeting for April 8, 2020, to consider whether to adopt amendments that would permit business development companies…
Article

Ropes & Gray LLP | USA | 15 Mar 2020

SEC Provides Conditional Relief from In-Person Fund Board Meeting Requirements, Select 1940 Act (Forms N-CEN, N-PORT, N-23C-2) and Advisers Act (Forms ADV and PF) Filing Deadlines and Prospectus Delivery Requirements

On March 13, 2020, the SEC issued a 1940 Act exemptive order and an Advisers Act exemptive order providing relief for funds and investment advisers…
Article

Thompson Hine LLP | USA | 31 Jan 2020

SEC on the Verge of Granting First Multi-Class Exemptive Application for a BDC

Key Notes: The first exemptive order permitting a non-traded BDC to issue multiple classes of shares is expected to be granted on or before February…
Article

Ropes & Gray LLP | USA | 22 Jan 2020

New Year Brings New Responsibilities for Some Asset Managers Who Are Exempt from Registration with the CFTC

With the New Year comes new responsibilities for certain asset managers who are exempt from registration with the U.S. Commodity Futures Trading…
Audio

Ropes & Gray LLP | USA | 18 Nov 2019

Podcast: Credit Funds: Hot Topics in BDC Regulation

In this Ropes & Gray podcast, Mike Doherty, Brian McCabe and Paul Tropp discuss important regulatory developments and current issues affecting…
Article

K&L Gates LLP | USA | 17 Oct 2019

SEC Adopts Rule Expanding “Test-the-Waters” Modernization Reform

Executive Summary On September 26, 2019, the Securities and Exchange Commission (the “SEC”) adopted Rule 163B (the “Rule”) under the Securities Act…
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