ARTICLE
1 September 2016

SEC Grants Relief To Company From "Ineligible Issuer" Status

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
The SEC Division of Corporation Finance granted relief to an investment management company from being considered an "ineligible issuer" under Securities Act Rule 405.
United States Corporate/Commercial Law

The SEC Division of Corporation Finance granted relief to an investment management company from being considered an "ineligible issuer" under Securities Act Rule 405. The relief is subject to conditions specified in the letter in which the relief was granted.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

Mondaq uses cookies on this website. By using our website you agree to our use of cookies as set out in our Privacy Policy.

Learn More