Proxy Voting

The Division has received inquiries from registrants with respect to amendments to investment company charters in light of the requirements of Rule 14a-4 under the Securities ...

The news was not good. With little notice, the proxy advisory firm alerted its clients that it wasn't going to be able to serve them ...

Advisers' compliance responsibilities around the use of proxy advisory services have grown in recent years, a point made during an SEC roundtable last week (IA ...

Although the full agenda hasn't been announced, the SEC last week provided more information about its planned Dec. 5th roundtable on use of proxy voting ...

If he had his way, SEC Commissioner Daniel Gallagher would replace two "no-action" letters advisers rely upon when casting client proxies based on third-party recommendations ...

The company that handles most of the proxy processing business that broker-dealers contract out when handling managed accounts says it's opposed to a quest by ...

This Tuesday, SEC commissioners are scheduled to consider finalizing their proposal to require institutional managers that manage more than $100 million in assets to annually ...

The SEC's proposed rule released in October 2010 regarding potential new reporting obligations for institutional investment managers around their proxy votes.

In yet another action inspired by Dodd-Frank, the SEC last week issued a proposed rule that would force institutional investment managers of funds with more ...

The SEC's concept release issued in July 2010 soliciting comments from the industry about ways to reform the proxy voting system.