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Searching Content indexed under Corporate and Company Law by Brian D. Hirshberg ordered by Published Date Descending.
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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
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
4
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
5
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
6
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
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