Business Development Companies

We provide a full range of services to BDCs, including:

• Counseling on structural options available when establishing a BDC, including operating as a private BDC or a publicly registered non-traded BDC or pursuing an underwritten public offering.
• Providing business planning advice.
• Preparing and filing registration statements with the SEC and organizational documents with state authorities.
• Providing marketing, advertising and distribution advice.
• Obtaining FINRA clearance of public offerings and qualifying public offerings pursuant to “Blue Sky” laws at the state level.
• Advising boards and/or independent directors/trustees on regulatory and corporate governance matters.
• Developing and implementing compliance programs and regulatory controls.
• Counseling on mergers and acquisitions, including assisting with due diligence.
• Providing advice on creating new product structures.
• Obtaining exemptive, no-action and similar relief from regulators.
• Reviewing and providing other assistance relating to periodic reports filed with the SEC pursuant to the Securities Exchange Act of 1934.
• Preparing corporate and compliance calendars.
• Preparing board and committee materials and taking minutes at board and committee meetings.
• Preparing proxy statements, post-effective amendments and various other regulatory filings.
• Working with auditors, accountants and administrators.
• Counseling on regulatory and business developments.
• Responding to regulatory inquiries, assisting in preparing for and responding to regulatory examinations, and providing representation in enforcement proceedings.