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...more
6/17/2020
/ Business Development Companies ,
Closed-End Funds ,
Co-Investment Rights ,
Coronavirus/COVID-19 ,
Form ADV ,
Form CRS ,
Investment Company Act of 1940 ,
Investment Management ,
OCIE ,
Offerings ,
Regulation Best Interest ,
Relief Measures ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
WKSIs
Many companies are facing potential funding issues as a result of the coronavirus (COVID-19) epidemic. Investors want to know if the companies they invest in are planning to raise capital, including through participation in...more
4/9/2020
/ Capital Controls ,
CARES Act ,
Coronavirus/COVID-19 ,
Disclosure Requirements ,
Federal Loans ,
Financial Stimulus ,
Paycheck Protection Program (PPP) ,
Relief Measures ,
SBA ,
SBA Lending Programs ,
Securities and Exchange Commission (SEC) ,
Small Business
The U.S. Securities and Exchange Commission (SEC) initially announced on March 4 that it is providing conditional regulatory and time-limited relief from certain filing and periodic reporting obligations under the Securities...more
The Staff of the U.S. Securities and Exchange Commission (SEC) announced guidance on March 13 for public companies that have been impacted by the coronavirus disease 2019 (COVID-19) and that wish to modify the date, time or...more
3/17/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
EDGAR ,
Filing Deadlines ,
Filing Requirements ,
Proxy Season ,
Publicly-Traded Companies ,
Relief Measures ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Shareholder Meetings ,
Virtual Meetings
The U.S. Securities and Exchange Commission (SEC) announced on March 4 that it is providing conditional regulatory and time-limited relief from certain filing and periodic reporting obligations under the Securities Exchange...more
3/6/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Filing Deadlines ,
Form 10-K ,
Form 10-Q ,
Form 8-K ,
Form S-3 ,
Form S-8 ,
Publicly-Traded Companies ,
Relief Measures ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Federal Reserve Board (FRB) has taken the first step toward providing banks meaningful relief from the Volcker Rule by soliciting public comment on a proposed rule that would simplify and streamline compliance....more