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Searching Content indexed under Directors and Officers 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
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
4
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
5
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
6
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
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