David Stephens

David Stephens

Proskauer Rose LLP

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SEC Adopts Expedited Exemptive Relief Process for Registered Funds and BDCs

On July 6, 2020, the Securities and Exchange Commission (the “Commission”) adopted rule amendments (the “Amendments”) to the exemptive relief application process under the Investment Company Act of 1940, as amended (the “1940...more

7/15/2020  /  Business Development Companies , Exemptive Relief , Expedited Actions Process , Filing Requirements , Investment Company Act of 1940 , Investment Management , New Rules , Proposed Amendments , Securities and Exchange Commission (SEC)

SEC Provides Temporary Relief and Guidance for Companies and Funds Affected by the Coronavirus

Exemptive Relief - The Securities and Exchange Commission (SEC) has issued an order (Order) providing temporary exemptive relief to public companies that are unable to meet filing deadlines due to circumstances related to...more

3/12/2020  /  Coronavirus/COVID-19 , Disclosure Requirements , Division of Investment Management , Exemptive Relief , Filing Requirements , Infectious Diseases , Investment Management , Proxy Statements , Publicly-Traded Companies , Securities and Exchange Commission (SEC)
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