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Business Development Companies (29)
Your search for Business Development Companies returned 29 results.
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3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
3/21/2019 | Content area: Investment Adviser
SEC commissioners March 20 approved a new proposal that would streamline the registration process for BDCs and other closed-end investment companies. ...
3/21/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing rules that would modify the registration, communications, and offering processe...
12/20/2018 | Content area: Investment Adviser
We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company to d...
12/06/2018 | Content area: Private Fund
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper discl...
12/04/2018 | Content area: Broker-Dealer
Although this accounting error was not quantitatively large as a percentage of net asset value or net income, KCAP determined that the erroneous recor...
12/03/2018 | Content area: Investment Adviser
This matter arises from FSM’s improper allocation of expenses to its former business development company (“BDC”) clients, and failures relating to the...
10/09/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) tha...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
9/07/2018 | Content area: Investment Adviser
Investment Company Act of 1940 — Section 57(a) and Rule 17d-1 Golub Capital BDC, Inc., et al. September 7, 2018 Response of the Chief Counsel's Offi...
7/20/2017 | Content area: Investment Adviser
Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...
7/19/2017 | Content area: Investment Adviser
This correspondence is another OCIE document request letter that looks at business development companies.
6/29/2017 | Content area: Investment Adviser
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you c...
6/28/2017 | Content area: Investment Adviser
A peer at an investment advisory firm that has BDC funds shares a copy of a OCIE sweep exam letter sent to the firm.
8/11/2016 | Content area: Broker-Dealer
FINRA has announced that it is conducting a targeted exam sweep with respect to non-traded business development companies. The SRO is asking that sele...
3/21/2016 | Content area: Investment Adviser
The FAST Act revised the venture capital fund adviser exemption by deeming SBICs to be venture capital funds for purposes of the exemption. Because an...
1/21/2016 | Content area: Private Fund
It could seem that an SEC enforcement action against a business development company is as rare as a winter sun in Alaska. But recently the Commission ...
1/15/2016 | Content area: Investment Adviser
INVENT also misrepresented its valuation policy in its periodic filings and failed to implement it, in that INVENT did not consult an advisory board a...
12/11/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Securities and Exchange Commission is proposing rule 18f-4, a new exemptive rule under the Investment Company Act of 1940 designed to address the ...
6/01/2015 | Content area: Private Fund
An off-balance sheet loan program coming into wider use has been providing a partial work-around to the one-to-one debt-to-equity ratio cap for busine...


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