Lee Hochbaum

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liquidity Risk Management Reforms Industry Update SEC Announces Na...

Industry Update SEC Announces National Compliance Outreach Seminar for Investment Companies and Investment Advisers Litigation United States Pursues False Claims Act Suit Against Priva...

Rules and Regulations SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Company Act to Permit Treatment of Interests in Securitization Trus...

Industry Update SEC’s National Examination Program Releases Examination Priorities for 2018 SEC Releases Diversity Assessment Tool for SEC Regulated Entities Litigation SEC Charges F...

Rules and Regulations SEC Releases FAQs on Liquidity Risk Management Reforms SEC Adopts Amendments to Advisers Act Rules to Reflect Changes Made by FAST Act SEC Staff Permanently Extends...

Rules and Regulations SEC Adopts Amendments to Advisers Act Rules to Reflect Changes Made by FAST Act Industry Update CFTC Releases Backgrounder on Oversight of and Approach to Virtual...

  Will Pearce and John Bick are delighted to be contributing editors of the inaugural edition of Getting the Deal Through: Private M&A 2018, a comprehensive overview of the laws, regulati...

Minority equity investments in public companies are on the rise.These are often structured as an investment in convertible preferred stock to give the investor a senior position to other ...

In case you are wondering – no, this is not about making the closing more festive, or planning for a champagne celebration after the closing. As companies think about the timing of the ...