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Lowenstein Sandler LLP

The Importance of Complying with Private Fund Documents for Affiliate Transactions

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Private fund advisers continually balance their ongoing responsibility to ensure that the funds they advise comply with such funds’ governing documents and their responsibility to ensure their own compliance with applicable...more

Latham & Watkins LLP

FERC Expands Scope of Affiliation Between Investor and Public Utility

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More investors in public utilities may now be considered affiliates, thereby significantly increasing compliance obligations and transactions subject to prior FERC approval. On October 20, 2022, the Federal Energy...more

Dorsey & Whitney LLP

FERC Increases Regulatory Oversight of Investors With Officers or Directors on Public Utilities’ Boards

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​​​​​​​The Federal Energy Regulatory Commission (“FERC”) recently ruled that an investor is deemed an affiliate of a public utility if the investor has a seat on the public utility’s board of directors. This rule indicates...more

BCLP

Investor to affiliate: recent FERC decisions hold that appointment of non-independent board members can constitute control

BCLP on

Two recent FERC decisions hold that appointment of an investor’s own officers or directors, or other appointee accountable to the investor, to the board of a public utility or holding company that owns public utilities will...more

Williams Mullen

Control of a Set-aside Entity

Williams Mullen on

In this episode of GovCon Perspectives, Will Wozniak talks with Shayn Fernandez about what to do when passive investments raise questions of affiliation. Protestors often raise issues of affiliation in the form of size...more

Bass, Berry & Sims PLC

SEC Comment about “Affiliate” Stockholder in Public Float Calculation

Bass, Berry & Sims PLC on

In monitoring SEC comment letters, we came across this SEC comment letter made public this month. It serves as a reminder to registrants that, when calculating a company’s public float, there is an informal presumption that a...more

Eversheds Sutherland (US) LLP

FERC Proposes Expansive “Connected Entity” Reporting Requirement

Eversheds Sutherland (US) LLP on

The Federal Energy Regulatory Commission (FERC) has proposed requiring the operators of centralized wholesale power markets to collect and provide to FERC a broad range of market participant data, including (i) each market...more

Morrison & Foerster LLP

Checkpoints: The Consequences Of crossing Various Ownership Thresholds When Investing

Morrison & Foerster LLP on

This memorandum outlines certain considerations associated with the acquisition of different levels of ownership of a U.S. company, including some of the approaches used in determining such “ownership”: - Sections 13...more

Troutman Pepper

Resales Of Restricted And Control Securities Under Rule 144

Troutman Pepper on

By progressively shortening the Rule 144 holding period for resales of restricted securities, the Securities and Exchange Commission has enhanced such securities’ liquidity and reduced the overall cost of raising capital. The...more

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