Proxy Voting

Last week SEC Commissioners voted unanimously to seek public comment about how to change proxy voting rules that have been in place since disco ruled ...

As the SECdescribes it, a former fund chairman and the head of a now-deregistered RIA, Moore Clayton Capital Advisors, cut a secret deal to persuade ...

Last week the SEC released a final rule that gives the industry greater flexibility in how it formats notices in alerting investors they can find ...

This is the SEC's correction of its final rule on proxy disclosure enhancements released in 2010 (S7–13–09).

The SEC's final rule from December 2009 governing proxy disclosures.

A final rule from the SEC, released on Feb. 26, 2010, having to do with Internet availability of proxy materials (S7–22–09).

In the bustle of the New Year, you may have missed the Feb. 28th deadline to comply with the SEC's new enhancements to proxy statements ...

The SEC's proposal, made in October 2009, regarding using the Internet to make available proxy materials to investors.

The SEC's proposed rule related to proxy disclosures related to the 33 and 34 Act as well as the investment Company Act. This proposal was ...

If your firm switches from not having to having discretion over client accounts then it also falls under the compliance obligations of the proxy rule.Draw ...