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Searching Content by Brian D. Hirshberg ordered by Published Date Descending.
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1
Establishing An Issuer Rule 10b5-1 Plan With An ATM Offering
This article summarizes key questions that an issuer may raise in connection with deciding whether to establish a Rule 10b51 trading plan in conjunction with the issuer's at-the-market offering program.
United States
3 Oct 2019
2
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
3
SEC Clarifies Application Of Securities Laws To OZ Funds
On July 15, 2019, the staffs of the SEC) and the North American Securities Administrators Association issued a joint summary explaining the application of the federal and state securities laws to investments in QOFs.
United States
26 Jul 2019
4
FINRA Proposes Changes To Its Fund Communication Rules
On June 20, 2019, the Financial Industry Regulatory Authority, Inc. ("FINRA") proposed amendments to FINRA Rule 2210 (Communications with the Public)
United States
5 Jul 2019
5
SEC Seeks Public Comment To Improve Exempt Offering Process
On June 18, 2019, the Securities and Exchange Commission (the "SEC") issued a concept release requesting public comment on ways to simplify, harmonize and improve the exempt offering process.
United States
1 Jul 2019
6
Market Trends 2018/19: Business Development Companies
Business development companies (BDCs) are closed-end investment management companies that are specially regulated by the Investment Company Act of 1940, as amended (the 1940 Act).
United States
19 Jun 2019
7
Survey Of Recent SEC Comment Letters To Mortgage REITs
In recent years, the Staff of the Securities and Exchange Commission (the "SEC") has been providing comments regarding companies' presentations of non-GAAP financial measures in public filings.
United States
28 May 2019
8
SEC Approves NYSE Amendments To Price Requirements
On March 20, 2019, the SEC approved a NYSE rule modifying the price requirements that companies must meet to avail themselves of certain exceptions from the NYSE shareholder approval requirements.
United States
23 Apr 2019
9
SEC Loosens In-Person Voting Requirement For BDC Boards
On February 28, 2019, the staff of the Securities and Exchange Commission's Division of Investment Management issued a no-action letter
United States
22 Mar 2019
10
2019 REIT IPO Market Update
Global REIT IPOs decreased dramatically – down 47 percent – from 49 REIT IPOs in 2017 to 26 REIT IPOs in 2018.
United States
18 Mar 2019
11
House Bill Would Mandate Rule 10b5-1 Study
The Commission would be required to issue a report within one year of the adopted legislation and revise Rule 10b5-1 based on the study's results.
United States
24 Jan 2019
12
NYSE Releases Updated Compliance Memo
On January 10, 2019, the staff of NYSE Regulation released its annual memorandum detailing important rules and policies applicable to listed companies.
United States
18 Jan 2019
13
Safe Harbor For The Distribution Of Research Reports
On November 30, 2018, the SEC adopted a new rule 1 establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports...
United States
15 Jan 2019
14
Legal Update: A Year To Remember For BDCs
With 2018 now in the rearview mirror, we summarize several of the encouraging regulatory developments for business development companies ("BDCs") that occurred during 2018.
United States
9 Jan 2019
15
A Year To Remember For Business Development Companies
With 2018 now in the rearview mirror, we summarize below several of the encouraging regulatory developments for business development companies (BDCs) that occurred during 2018
United States
8 Jan 2019
16
SEC Applies New Hedging Requirement To BDCs following Industry Silence
As detailed in our Legal Update, on December 18, 2018, the Securities and Exchange Commission ("SEC") adopted a final rule requiring companies to disclose their hedging policies for employees
United States
7 Jan 2019
17
SEC Proposes Fund Of Funds Rule
On December 19, 2018, the Securities and Exchange Commission (the "SEC") proposed a new rule (Rule 12d1-4) intended to modernize and improve the regulatory framework for fund of funds arrangements (fund investing in shares of another fund).
United States
2 Jan 2019
18
Lessons Learned From CAM Dry Runs
In 2017, the Public Company Accounting Oversight Board ("PCAOB") adopted a new standard for auditor's reports that requires a description ...
United States
20 Dec 2018
19
On Point. – Pre-Funded Warrants
A pre-funded warrant allows its holder to purchase the issuer's securities at a nominal exercise price (typically, $0.01 per share).
United States
11 Dec 2018
20
SEC Expands Safe Harbor To Promote Research On Investment Funds
On November 30, 2018, the SEC adopted a new rule establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports regarding qualifying investment funds.
United States
10 Dec 2018
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