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Proxy Voting
SEC Re-Opens Comments on Director Nomination Proposal
December 15, 2009
The SEC announced yesterday that it would reopen the public comment period for its rule proposal, Facilitating Shareholder Director Nominations, proposed in June. Comments on the original proposal were due by August 17, 2009, though comments have continued to arrive at the Commission… read more
Schapiro: SEC to Expand Proxy Reforms
November 05, 2009
In an address before the Practicing Law Institute in New York yesterday, SEC Chairman Mary Schapiro announced that the Commission staff will be looking into the proxy process even further with the "goal of enhancing the system through which shareholders exercise their franchise." The Commission's… read more
SEC Publishes Proxy Disclosure and Solicitation Proposals
July 13, 2009
On July 10, the SEC published rule proposals regarding “Proxy Disclosure and Solicitation Enhancements” that the Commission voted to approve at its July 1 open meeting. As we described in our July 2 News Feed post “SEC Considers Slate… read more
SEC Brings Its First Action for Proxy Voting Violation
May 11, 2009
On Friday, May 8, the SEC brought its first enforcement case for a proxy voting rule violation. The case, involving the registered investment adviser INTECH Investment Management LLC, charged that the adviser did not sufficiently describe its proxy voting policies and procedures and failed to… read more
Millstein Center Proposes Proxy Advisors Code of Conduct
March 23, 2009
On March 2, The Millstein Center for Corporate Governance and Performance at the Yale School of Management announced its proposal of an initiative "to boost transparency among institutional investors and the proxy voting services that advise them on relations with corporations." In this… read more