The issues include sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, and effective coordination with other regulators.
The report discusses three policy areas of strong interest to investment advisers – regulation of proxy advisory firms, Form CRS, and the Commission’s Interpretation of the “solely incidental” exclusion from the Advisers Act for broker-dealers.
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