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Expert Analysis

How SEC Could Expand 'Test The Waters' Communications

By Karen Garnett, Nicole Runyan, William Tuttle, Daniel Forman and Tyler Stahl ( March 8, 2019, 3:21 PM EST) -- On Feb. 19, 2019, the U.S. Securities and Exchange Commission proposed Rule 163B under the Securities Act of 1933, as amended, which would permit all prospective issuers, including registered investment companies and business development companies, or BDCs, to engage in communications with certain potential qualified investors prior to, or following, the filing of a registration statement....

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