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Proxy Voting
For the first time, the SEC has brought an enforcement action tied to the proxy voting rule [Advisers Act rule 206(4)-6], and the case's resolution ...
Investment Advisors Act of 1940 – Rule 206(4)-6 Institutional Shareholder Services, Inc. September 15, 2004 Mari Anne Pisarri, Esq. Pickard and Djinis LLP 1990 M ...
Investment Advisers Act of 1940 – Rule 206(4)-6 Egan-Jones Proxy Services May 27, 2004 Kent S. Hughes Managing Director Egan-Jones Proxy Services 61 Station Road ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...
No-Action Letter under Investment Company Act of 1940 — Section 3(a) and 7 Investment Advisers Act of 1940 — Section 203(a) Tuition Plan Consortium, LLP ...