In May 2019, the SEC proposed amendments to the rules that require BDCs to include (i) certain financial information pertaining to their majority-owned or controlled portfolio companies and (ii) historical and pro forma...more
7/10/2019
/ Acquisitions ,
Business Development Companies ,
Controlled Portfolio Companies ,
Disclosure Requirements ,
Filing Requirements ,
Financial Statements ,
Investment Company Act of 1940 ,
Proposed Rules ,
Public Comment ,
Regulation S-X ,
Request For Information ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission on March 20, 2019 proposed a package of reforms to the securities registration, offering and communications requirements under the Securities Act of 1933, applicable to business...more
5/15/2019
/ Business Development Companies ,
Closed-End Funds ,
Comment Period ,
Disclosure Requirements ,
Economic Growth Regulatory Relief and Consumer Protection Act ,
EDGAR ,
Investment Company Act of 1940 ,
Investor Communication Rules ,
Offering Communications ,
Offerings ,
Proposed Amendments ,
Prospectus ,
Public Comment ,
Publicly-Traded Companies ,
Registration Fees ,
Registration Requirement ,
Registration Statement ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Small Business Credit Availability Act (SBCAA) ,
WKSIs ,
XBRL Filing Requirements
The Securities and Exchange Commission voted on December 19, 2018 to propose Rule 12d1-4 (proposed rule) and related amendments to the regulatory framework governing funds that invest in other funds (“fund of funds”...more
1/8/2019
/ Acquired Fund Fees and Expenses (AFFE) ,
Acquisitions ,
Business Development Companies ,
Closed-End Funds ,
Complex Financial Products ,
Controlling Stockholders ,
Disclosure Requirements ,
Excessive Fees ,
Exchange-Traded Products ,
Exemptions ,
Foreign Acquisitions ,
Form N-CEN ,
Fund of Funds ,
Investment Company Act of 1940 ,
Mutual Funds ,
Private Funds ,
Proposed Amendments ,
Registered Investment Companies (RICs) ,
Securities and Exchange Commission (SEC) ,
Share Redemption ,
Voting Rights