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Articles by Gary Granik
SEC Adopts Expedited Exemptive Relief Process for Registered Funds and BDCs | JD Supra
On July 6, 2020, the Securities and Exchange Commission (the “Commission”) adopted rule amendments (the “Amendments”) to the exemptive relief application process under the Investment Company Act of 1940, as amended (the “1940 Act”), which establish expedited review procedures for applications that are substantially identical to recent precedent and create a timeframe for standard review of applications outside of the new expedited review procedures.[1] In addition, the Amendments adopt a new...
SEC Adopts Expedited Exemptive Relief Process For Registered Funds And BDCs
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UPDATE: Extends Relief For In-Person Meetings Of Fund Boards Through December 31, 2020
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UPDATE: SEC Extends Relief for In-Person Meetings of Fund Boards Through December 31, 2020 | JD Supra
On Friday, June 19, 2020, the U.S. Securities and Exchange Commission (the "SEC") issued an order (the "Order") under the Investment Company Act of 1940, as amended (the "1940 Act"), extending the duration of previously-granted conditional relief with regard to in-person voting requirements for boards of directors of registered investment companies and business development companies (together, "funds"). The Order extends the exemptive relief through at least December 31, 2020.
SEC Proposes New Valuation Rule For Registered Funds And BDCs
On April 21, 2020, the Securities and Exchange Commission (the "SEC") proposed new Rule 2a-5 (the "proposed rule") under the Investment Company Act of 1940, as amended (the "1940 Act").1 The proposed rule establishes requirements for determining fair value "in good faith" for purposes of the 1940 Act2, which is a board of directors ("board") statutory responsibility.
SEC Proposes New Valuation Rule for Registered Funds and BDCs | JD Supra
On April 21, 2020, the Securities and Exchange Commission (the "SEC") proposed new Rule 2a-5 (the "proposed rule") under the Investment Company Act of 1940, as amended (the "1940 Act").[1] The proposed rule establishes requirements for determining fair value "in good faith" for purposes of the 1940 Act[2], which is a board of directors ("board") statutory responsibility.
SEC Issues Exemptive Relief To Provide Funds Additional Short-Term Borrowing Flexibility
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The SEC Extends Temporary Conditional Relief For Investment Advisers, Registered Funds And BDCs In Connection With Coronavirus Outbreak
Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice): Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below. Mondaq has a "free to view" business model.
SEC Provides Conditional Relief For Investment Advisers, Registered Funds And BDCs In Connection With Coronavirus Outbreak
To print this article, all you need is to be registered or login on Mondaq.com. On Friday, March 13, 2020, the U.S. Securities and Exchange Commission ("SEC") announced the issuance of a pair of exemptive orders providing conditional relief for investment advisers, registered investment companies and business development companies ("BDCs") (together with registered investment companies, "funds") whose operations may be affected by the COVID-19 virus.
SEC Provides Conditional Relief for Investment Advisers, Registered Funds and BDCs in Connection with Coronavirus Outbreak | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC And PCAOB Issue Joint Statement On The Effects Of Coronavirus On Financial Reporting
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SEC and PCAOB Issue Joint Statement on the Effects of Coronavirus on Financial Reporting | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Re-Proposes Regulations Governing the Use of Derivatives and Other Transactions by Registered Funds and BDCs | JD Supra
The Securities and Exchange Commission (the "SEC") recently proposed a revised version of new Rule 18f‑4 (the "Proposed Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"),[1] which it originally proposed in December 2015 (the "2015 Proposal").[2] The Proposed Rule would permit mutual funds (other than money market funds), exchange-traded funds ("ETFs"), closed-end funds and business development companies ("BDCs") (collectively, "funds") to enter into derivatives...
SEC Adopts Amendments to Auditor Independence Rules Addressing Lending Relationships | JD Supra
On June 18, 2019, the Securities and Exchange Commission (the "SEC") adopted amendments to Rule 2-01 of Regulation S-X, which sets forth the SEC's auditor independence standards, changing the analysis of whether an audit firm is independent if it has a lending relationship with certain shareholders of an audit client at any time during an audit or other professional engagement period.[1] These rule amendments reflect extensive efforts over the last three years among the SEC, the fund...
SEC Issues No-Action Relief Increasing Flexibility for Certain In-Person Director Voting Requirements | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Liquidity Management Rule – Delays and Revisions | JD Supra
On October 13, 2016, the Securities and Exchange Commission (the "SEC") adopted Rule 22e-4 (the "Liquidity Rule") under the Investment Company Act of 1940, as amended, to require each registered open-end management investment company, including exchange-traded funds but not including money market funds, to establish a liquidity risk management program.
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