Before joining the firm, Anne worked as an attorney adviser for the U.S. Small Business Administration, where she employed creditors’ rights, secured transactions and evaluated default loans.
•Publicly Traded Private Equity
“The Dodd-Frank Act fundamentally changed the regulatory landscape for managers of private funds who now need to become comfortable, many for the first time, with federal securities regulations.”
Legal Alert: “Phase two” for private BDCs-SEC permits liquidity for investors through split-off transaction (June 4, 2018)
Private business development companies (BDCs) do not have publicly traded shares. For investors in these vehicles, liquidity opportunities take a number of forms. One liquidity option that private ...
Legal Alert: A view from an SEC regional office on examination findings (February 1, 2018)
On January 11 and 19, 2018, the Fort Worth, Texas Regional Office (the Office) of the Securities and Exchange Commission (the SEC) hosted conference calls during which the Director and Associate ...
Legal Alert: SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies (July 15, 2016)
On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered ...
Legal Alert: Is the SEC Poised to Broaden Standard Co-Investment Relief? (March 16, 2016)
The U.S. Securities and Exchange Commission (SEC) Division of Investment Management recently issued a notice with regard to the application for co-investment relief filed by Apollo Investment ...
Legal Alert: New SEC Guidance Adds Flexibility to BDC Co-Investing (December 8, 2014)
The U.S. Securities and Exchange Commission (SEC) Division of Investment Management (the Division) just published guidance that will permit business development companies (BDCs) to co-invest with ...
Legal Alert: Impending Federal Government Shutdown: Steps to Take Now at SEC (April 7, 2011)
Legal Alert: A New World Order: What Your Board Should Know About Proxy Access (September 23, 2010)
Legal Alert: Proxy Plumbing: SEC Considers Extensive Renovation Job to the Proxy System (July 30, 2010)
Legal Alert: It's Signed, Now for the Hard Part: What your Board Needs to Know About Corporate Governance and Executive Compensation Provisions in the Dodd-Frank Act (July 22, 2010)
Legal Alert: Capitol Hill Takes on Executive Compensation and Corporate Governance (June 17, 2010)
Is the SEC Poised to Broaden Co-Investment Relief? (March 24, 2016)
The U.S. Securities and Exchange Commission (SEC) Division of Investment Management recently issued a notice with regard to the application for co-investment relief filed by Apollo Investment Corp. ...
Bridging Turbulent Waters: BDCs Overcome Difficult Co-Investment Issues (April 2015)
The Investment Lawyer
As private investment funds reassess their participation in the capital markets, business development companies (BDCs) have emerged as viable alternative investment vehicles for those seeking to ...
Crisis Management Preparedness (Winter 2011)
Publicly Traded Private Equity Regulatory Review (April 2009)
Corporate Secretary's Answer Book (Updated Annually)
The latest edition of the Corporate Secretary's Answer Book is available now. To request a copy, please contact [email protected]
Member, American Bar Association
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