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Articles by Amina Batyreva
Supreme Court To Decide Whether Section 47(b) Creates A Private Right Of Action Under The Investment Company Act Of 1940
Nathan Schuur’s articles from Proskauer Rose LLP are most popular: with Senior Company Executives, HR and Inhouse Counsel with readers working within the Media & Information industries Overview On December 10, 2025, the United States Supreme Court will hear arguments in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd. to resolve a circuit split and determine whether there is a private right of action for violations of the Investment Company Act of 1940, as amended (the "1940 Act").
Supreme Court to Decide Whether Section 47(b) Creates a Private Right of Action Under the Investment Company Act of 1940 | JD Supra
Overview On December 10, 2025, the United States Supreme Court will hear arguments in FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd. to resolve a circuit split and determine whether there is a private right of action for violations of the Investment Company Act of 1940, as amended (the “1940 Act”).
Effect of the New NYSE and Nasdaq Clawback Listing Standards on Registered Funds and BDCs | JD Supra
Beginning on December 1, 2023, companies listed on the New York Stock Exchange (“NYSE”) and the Nasdaq Stock Market (“Nasdaq”) will need to adopt and comply with policies providing for the recovery, or “clawback”, of erroneously awarded incentive-based executive compensation, as required by Rule 10D-1 under the Securities Exchange Act of 1934 (“Rule 10D-1”).[1] The new NYSE and Nasdaq listing standards (“Listing Standards”) will apply to all exchange-listed business development companies...
Effect Of The New NYSE And Nasdaq Clawback Listing Standards On Registered Funds And BDCs
Beginning on December 1, 2023, companies listed on the New York Stock Exchange ("NYSE") and the Nasdaq Stock Market ("Nasdaq") will need to adopt and comply with policies providing for the recovery, or "clawback", of erroneously awarded incentive-based executive compensation, as required by Rule 10D-1 under the Securities Exchange Act of 1934 ("Rule 10D-1").1 The new NYSE and Nasdaq listing standards ("Listing Standards") will apply to all exchange-listed business development companies...
SEC Adopts Amendments to Fund Names Rule
On September 20, 2023, the Securities and Exchange Commission (the “SEC”) voted to adopt final amendments to modernize Rule 35d-1 of the Investment Company Act of 1940, as amended (the “1940 Act”).[1] This rule, commonly referred to as the “Names Rule”, regulates the use of names for registered investment companies and business development companies (“BDCs”)[2] that may be materially misleading or deceptive.
SEC Brings First Liquidity Rule Enforcement Action Against Investment Adviser And Fund Board
On May 5, 2023, the Securities and Exchange Commission ("SEC") filed charges against Pinnacle Advisors LLC ("Pinnacle Advisers"), an investment adviser, for allegedly aiding and abetting violations of Rule 22e-4 (the "Liquidity Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"), by a mutual fund it advised and whose liquidity risk management program ("LRMP") it administered.
SEC Brings First Liquidity Rule Enforcement Action Against Investment Adviser and Fund Board | JD Supra
On May 5, 2023, the Securities and Exchange Commission ("SEC") filed charges against Pinnacle Advisors LLC ("Pinnacle Advisers"), an investment adviser, for allegedly aiding and abetting violations of Rule 22e-4 (the "Liquidity Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"), by a mutual fund it advised and whose liquidity risk management program ("LRMP") it administered.
SEC Amendments To Share Repurchase Disclosure Rules Impact BDCs And Exchange-Traded Registered Closed-End Funds
On May 3, 2023, the Securities and Exchange Commission ("SEC") adopted amendments to its existing rules regarding disclosures about purchases of an issuer's equity securities by or on behalf of the issuer or an affiliated purchaser, commonly referred to as "buybacks". The amended rules impact business development companies ("BDCs") and certain registered closed-end management investment companies that are exchange-traded ("Listed Closed-End Funds"), among other issuers.
SEC Amendments to Share Repurchase Disclosure Rules Impact BDCs and Exchange-Traded Registered Closed-End Funds | JD Supra
May 19, 2023 Amina Batyreva, Wendy Li, John Mahon Proskauer Rose LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: On May 3, 2023, the Securities and Exchange Commission ("SEC") adopted amendments to its existing rules regarding disclosures about purchases of an issuer's equity securities by or on behalf of the issuer or an affiliated purchaser, commonly referred to as "buybacks".
SEC Staff Issues Bulletin on the Care Obligations of Advisers and Broker-Dealers to Retail Investors | JD Supra
On April 20, 2023, the staff of the Securities and Exchange Commission (the “SEC”) published an FAQ‑style bulletin[1] that provides guidance on the care obligations of broker‑dealers and investment advisers in providing investment advice and recommendations to retail investors.
SEC Staff Issues Bulletin on the Care Obligations of Advisers and Broker-Dealers to Retail Investors
On April 20, 2023, the staff of the Securities and Exchange Commission (the “SEC”) published an FAQ‑style bulletin[1] that provides guidance on the care obligations of broker‑dealers and investment advisers in providing investment advice and recommendations to retail investors.
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