Proxy Voting

Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual SEC ...

Important Issues for Investors in 2019 Rick Fleming, SEC Investor Advocate The SEC Speaks in 2019 Washington D.C. April 8, 2019 Good afternoon. I hope ...

After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities comprising its ...

Another aspect of proxy voting that I am interested in is thresholds for submission and resubmission of shareholder proposals. It is important to achieve a ...

A day-long meeting Nov. 15 before SEC commissioners recounted a litany of problems around proxy voting and sprinkled potential solutions that may ultimately lead back ...

With this pending Roundtable and other policy considerations in mind, the staff of the Division of Investment Management has recently re-examined the letters that the ...

SEC Chairman Jay Clayton has issued a statement stressing that only the Commission can adopt “rules and regulations that have the force and effect of ...

    Securities Exchange Act of 1934 – Rule 14a-8 Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capital Management, L.P. July 20, 2018 ...

We are unable to concur in your view that the Fund may exclude the Proposal from the Proxy Materials under Rule 14a-8(i)(3). We do not ...

We are unable to concur in your view that the Fund may exclude the Proposal from the Proxy Materials under Rule 14a-8(i)(3). We are unable ...