Tag: Proxy Advisory Firms
SEC Modifies Proxy Advice Rules, Rescinds Guidance for Investment Advisers
SEC adopts rule amendments to modify 2020 proxy advice rules and rescinds 2020 guidance for investment advisers, consistent with IAA advocacy.
July 20, 2022
Tags: Proxy Advisory Firms, Proxy Voting, SEC
A Proxy Voting Primer for Uncertain Times
This article discusses requirements for advisers that vote proxies and the status of recent regulatory developments.
March 23, 2022
Tags: DOL, Proxy Advisory Firms, Proxy Voting, SEC
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
New Report by SEC’s Investor Advocate Raises Concerns About Proxy Advisory Firms, Form CRS, Commission’s “Solely Incidental” Interpretation December 29, 2019 Rick FlemmingSEC Investor Advocate The SEC’s Office of...
December 29, 2019
Tags: Form CRS, Proxy Advisory Firms, Rick Fleming, SEC Investor Advocate
SEC Investor Advisory Committee: Revise, Republish Proxy Proposals
SEC Investor Advisory Committee: Revise, Republish Proxy Proposals Commissioner Roisman Addresses Criticisms in Recent Speech February 10, 2020 The SEC’s Investor Advisory Committee (IAC) responded strongly to the SEC’s...
February 10, 2020
Tags: Proxy, Proxy Advisory Firms
IAA Objects to SEC’s Proxy Advice Proposal
IAA Objects to SEC’s Proxy Advice Proposal Urges SEC to Address Infrastructure, Not Proxy Advisory Firms February 10, 2020 The IAA has submitted a comment letter in response to...
February 10, 2020
Tags: Proxy, Proxy Advisory Firms
At IAA Conference, SEC’s Lee Expresses Advertising Rule Concerns, Criticizes Proxy Proposals as “Opposite of Investor Empowerment” Updated March 9, 2020 Watch the Video In her keynote address at...
March 09, 2020
Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule
New SEC Proxy Guidance for Advisers Effective September 3;Proxy Advisory Firm Rules Take Effect on November 2 Updated September 3, 2020 New, supplemental SEC guidance regarding the proxy voting...
September 03, 2020
Tags: Proxy, Proxy Advisory Firms
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
