Maximillian Licona

Maximillian Licona

Eversheds Sutherland (US) LLP

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Through the eyes of the SEC: SEC adopts amendments to MD&A disclosure requirements

On November 19, 2020, the United States Securities and Exchange Commission (the SEC) adopted amendments (the Adopted Amendments)1 to Items 301 (selected financial data), 302 (supplementary financial data), and 303...more

12/14/2020  /  Amended Regulation , Business Development Companies , Corporate Governance , Disclosure Requirements , MD&A Statements , Publicly-Traded Companies , Regulation S-K , Securities and Exchange Commission (SEC) , Securities Regulation

SEC proposes amendments to AFFE and advertisements: What this means for BDCs and the potential for a return to indexes

On August 5, 2020, the Securities and Exchange Commission (SEC) announced proposed modifications (the Proposed Rule) to the disclosure framework for mutual funds and exchange-traded funds (ETFs) registered on Form N-1A...more

8/17/2020  /  Business Development Companies , Closed-End Funds , Disclosure Requirements , ETFs , Mutual Funds , Popular , Proposed Rules , Securities and Exchange Commission (SEC)
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