Today’s proposed rule would require the use of universal proxy cards in all contested elections of directors, other than solicitations that are exempt under our ...
I find the proposed solution to not receiving the dissident’s proxy statement to be interesting. The company’s proxy statement would simply advise that the ...
Another area where current conditions in the U.S. Treasury market highlight a need for regulatory convergence is the foundational registration and regulation of intermediaries. ...
Currently, the reports that companies file with the SEC are document-based reports. In particular, the 10-K can be voluminous, with much of the information disclosed ...
The good news is that, within the Commission, the non-economist staff members are some of the biggest fans of the economists. The staff understands that ...
But in the last few years, I’ve witnessed the arrival of increasingly complex data and new analytical methods used to analyze them. And some of ...
So a very real challenge for compliance departments and personnel – both today and in the future -- will be to insure that they have ...
the Enforcement Division successfully used the sweep technique to raise industry awareness of an important investor protection rule that had not previously been charged in ...
Over the years, the asset management industry has become increasingly complex and has offered a growing range of investment strategies, including those that use derivatives, ...
Today’s rule makes a number of changes from the proposal to strengthen investor protections. For example, the cost adjustment will be limited to a maximum ...