SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance
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November 22, 2021
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Biden Climate Financial Roadmap Discusses SEC and DOL ESG Proposals
A new Biden Administration report lays out "a roadmap for measuring, disclosing, managing, and mitigating climate-related financial risk across the economy” and follows an executive order regarding financial risk and climate change policy.
October 20, 2021
DOL Proposal Would Allow Fiduciaries to Consider ESG When Selecting Plan Investments
Retirement plan fiduciaries will be permitted to consider climate change/ESG factors when selecting plan investments and voting proxies under a new proposal by the Department of Labor.
October 18, 2021
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 has issued a statement directing the SEC staff to consider whether the SEC should revisit the 2019 interpretation stating that proxy voting advice generally is a solicitation under the proxy rules.
June 02, 2021
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.
May 19, 2021
The SEC has reopened the comment period for a proposal to require universal proxy cards in connection with certain contested director elections.
April 27, 2021
SEC Acting Chair Allison Herren Lee is inviting public input from investors, registrants, and other market participants on climate change disclosure.
March 17, 2021