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Searching Content indexed under Finance and Banking by Brian D. Hirshberg ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
SEC Permits Fund Board Reliance On CCOs
Funds permitted to rely on the no-action relief include both registered investment companies and business development companies.
United States
11 Nov 2018
11
House Act Would Expand Investment Opportunities For REITs
On September 6, 2018, House Committee on Financial Services Chairman Jeb Hensarling and Representative John Delaney released a discussion draft of the Bipartisan Housing Finance Reform Act (the "Act").
United States
3 Oct 2018
12
FinCEN's New Customer Due Diligence Requirement
Effective May 11, 2018, the U.S. Treasury's Financial Crimes Enforcement Network ("FinCEN") implemented a new customer due diligence requirement.
United States
18 Jun 2018
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