SEC Modifies Proxy Advice Rules, Rescinds Guidance for Investment Advisers
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July 20, 2022
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A Proxy Voting Primer for Uncertain Times
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March 23, 2022
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
Updated September 3, 2020 New, supplemental SEC guidance regarding the proxy voting responsibilities of investment advisers took effect on September 3, when it was published in the Federal Register –...
September 03, 2020
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
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
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
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