New “Say-on-Pay” Form N-PX Reporting for Members: Questions Answered
FAQs for say-on-pay proxy voting reporting requirements for Form 13F filers.
February 23, 2024
Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
Your Search Results
Comments on SEC Proxy Voting Advice Proposal
We support the SEC’s proposal regarding proxy voting advice provided by proxy advisory firms and request that the SEC rescind both the 2019 and 2020 guidance for investment advisers on proxy voting.
December 27, 2021
Comments on SEC’s Form N-PX/Say-on-Pay Proposal
The IAA recommended the SEC revise the proposed requirement to report shares loaned but not recalled for a say-on-pay proxy vote by a reporting person and instead require a narrative disclosure.
December 14, 2021
Comments on DOL ESG and Proxy Proposal
We support the DOL’s proposal related to ESG investing and proxy voting and recommend that the DOL remove certain ESG-specific language in the rule text and remove the proposed “collateral benefit” disclosure.
December 13, 2021
Comments on DOL Proxy Proposal
The IAA strongly opposed and urged the DOL to withdraw its proposal on proxy voting and the selection and monitoring of proxy advisory firms because it represents a significant departure on how plan fiduciaries view their proxy voting responsibilities, and would substantially increase compliance costs without providing measurable benefits to plan participants and beneficiaries.
October 05, 2020
IAA, Joint Trades Letter to the DOL Requesting Extension of Comment Period for DOL Proxy Proposal
The IAA joined other trade associations to submit a letter to the DOL requesting an extension of the comment period for the DOL’s Proxy proposal.
September 25, 2020
Comments on SEC Proxy Voting Advice Proposal
The IAA strongly opposed the Proxy Voting Advice proposal because there is no compelling evidence justifying the proposal. The IAA also highlighted the practical concerns with having issuers review proxy voting advice in advance and noted that the proposal would make it more difficult and expensive for advisers to vote proxies.
February 03, 2020