SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance
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November 22, 2021
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SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule
SEC Chair Gary Gensler In a highly anticipated move, SEC Chair Gary Gensler has issued a statement directing the SEC staff to consider whether the SEC should revisit the 2019...
June 02, 2021
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs
The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling on the SEC to “play an active role...
April 16, 2021
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds
The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda – ESG, diversity and inclusion, and private investments – and...
April 02, 2021
SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020 The SEC’s Asset Management Advisory Committee held a special...
July 23, 2020
SEC’s Roisman Raises Concerns About Investment Advisers in Speech on Proxy Issues
SEC’s Roisman Raises Concerns About Investment Advisers in Speech on Proxy Issues March 11, 2020 SEC Commissioner Elad Roisman raised concerns about the proxy voting behavior of investment advisers...
March 11, 2020