Recent Corporate Representation
Posted by: David Fishkin
May 19, 2010
Topic: Corporate and Securities Updates
SBK represented a long-standing client in the gaming and hospitality industry in connection with the client's deregistration from the Investment Company Act of 1940. A long and complex process, including significant review and negotiation with the Securities and Exchange Commission's Division of Investment Management, culminated in the SEC issuing the order that deregistered the company from the '40 Act, which resulted in the company once again becoming a traditional operating entity subject to the reporting requirements under the Securities Exchange Act of 1934. The client had originally registered under the '40 Act as a result of the composition of its assets consisting of a high percentage in investment grade securities following the divesture of a significant subsidiary in 2005. The Company had been seeking this result in order to reestablish itself as an operating company in the eyes of the business and corporate finance world.
Jack Becker and David R. Fishkin represented the client before the SEC in connection with the deregistration.
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