SEC: Regulators

SEC staff are “re-examining” rules that keep Main Street investors out of private, closed-end funds, and considering rules that would allow some retirement funds to ...

In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...

"Investment professionals and others who are providing retirement services to teachers (and similar groups) should examine their practices to ensure that they are appropriately discharging ...

SEC

Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...

Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...

Every year, retail investors, institutional investors, and investment advisers face decisions on whether and how to vote on a significant number of matters that are ...

"Today’s recommendations will help ensure that the interests of Main Street investors and the obligations of those who vote on their behalf will not only ...

"The guidance instructs investment advisers to consider any issuer response to proxy voting advice prior to exercising voting authority. But how long must investment advisers wait to ...

"Today’s supplemental guidance, while focused on investment advisers’ consideration of additional information generated by today’s amendments, underscores that investment advisers must use voting advice they ...