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503 results found

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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…
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Skadden Arps Slate Meagher & Flom LLP | USA | 20 Nov 2019

Proposed Amendments to the Federal Proxy Rules: Considerations for Closed-End Funds

On November 5, 2019, the Securities and Exchange Commission (SEC) issued two releases proposing a number of amendments to the federal proxy rules…
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Skadden Arps Slate Meagher & Flom LLP | USA | 19 Aug 2019

Neuberger Berman Alleges Saba Capital Violating 1940 Act To Win Proxy Fights; Saba Investors on Notice, Should Consider Own Duties

As recently noted, Saba Capital Management, L.P. (Saba) has begun to escalate its attacks on the closed-end fund asset class, at the expense of…
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Ropes & Gray LLP | European Union, United Kingdom, USA | 13 Aug 2019

Ropes & Gray’s Investment Management Update - June-July 2019

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry…
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K&L Gates LLP | USA | 8 Jan 2019

SEC Proposes a New Rule for Fund of Funds Arrangements

On December 19, 2018, the Securities and Exchange Commission (the “SEC”) proposed new rule 12d1-4 (the “Proposed Rule”) under the…
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Mayer Brown | USA | 31 Dec 2018

SEC Applies New Hedging Requirement to BDCs following Industry Silence

On December 18, 2018, the Securities and Exchange Commission (“SEC”) adopted a final rule requiring companies to disclose their hedging policies for…
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Troutman Pepper | USA | 19 Dec 2018

Five Things to Know: SEC Adopts Final Rules on Hedging Policies

On December 18, 2018, the Securities and Exchange Commission ("SEC") approved final rules to require disclosure in annual proxy statements of a…
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Mayer Brown | USA | 12 Dec 2018

SEC Chair Testimony Before the Senate

SEC Chair Clayton testified on December 11, 2018 before the U.S. Senate Committee on Banking, Housing and Urban Affairs. In his testimony, Chair…
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Skadden Arps Slate Meagher & Flom LLP | USA | 1 Nov 2018

Economic Growth, Regulatory Relief, and Consumer Protection Act: Impacts on Investment Companies

The Economic Growth, Regulatory Relief, and Consumer Protection Act (Consumer Protection Act), signed into law on May 24, 2018, includes certain…
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DLA Piper | USA | 29 Jun 2018

SEC proposes new rule to simplify the creation and operation of exchange-traded funds

The Securities and Exchange Commission (SEC) has voted to propose a new rule relating to exchange-traded funds (ETFs). Essentially a combination of…
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