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Business Development Companies (22)
Your search for Business Development Companies returned 22 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...
12/03/2018 | 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...
10/04/2018 | 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.
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...
1/15/2016 | 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 ...
12/01/2014 | Content area: Investment Adviser
The staff is issuing this guidance in response to a public inquiry that the staff has received concerning a BDC’s co-investment transactions. The guid...
10/31/2014 | Content area: Investment Adviser
This Guidance Update provides the views of the Division’s Chief Accountant’s Office regarding the presentation of consolidated financial statements fo...
6/01/2014 | Content area: Investment Adviser
Recently, the staff has become aware that certain BDCs have sought to rely on this limited relief in connection with SBICs that have not issued indebt...
11/18/2013 | Content area: Investment Adviser
If you work at a business development company or a closed-end fund under the Investment Company Act, last week's SECno-action letter marks a big step ...
9/27/2013 | Content area: Investment Adviser
In reviewing registration statements filed by BDCs, the staff has observed that some BDCs that have certain significant subsidiaries do not provide se...
11/27/2012 | Content area: Investment Adviser
The staff is aware that certain private funds that plan to elect status as business development companies under the Investment Company Act (“Planned B...


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