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Registered Closed-End Funds May Exclude Investor’s Advisory Proposal to Declassify Board
The Securities and Exchange Commission granted relief to three Nuveen closed-end funds to exclude a shareholder …
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MFDF Webinar: Proxy Voting by Asset Managers: Current Trends and Issues
The Mutual Fund Directors Forum and Morgan Lewis plan to host a webinar titled, “Proxy Voting by Asset …
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ACA Publishes December 2022 Regulatory Update
ACA published the December 2022 Regulatory Update which covers the SEC’s Division of Enforcement’s 2022 …
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ACA Releases November Regulatory Update
The report covers the SEC’s crackdown on use of unmonitored messaging apps, the approaching annual renewal …
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SEC Adopts Final Rule on Enhanced Proxy Voting Disclosure
The SEC announced a final rule requiring amendments to Form N-PX that will “enhance the information mutual …
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SEC Amends Rules on Proxy Solicitation and Proxy Voting Advice
The SEC adopted a final rule that changes amendments previously finalized in July 2020 under Chair Jay …
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Forum Comment Letter on Enhanced Reporting of Proxy Votes
On December 14, 2021, the Forum submitted a comment letter to the SEC in response to the rule proposals …
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SEC’s Corp Fin Division Issues Release on Proxy Voting Advice
Chairman Gensler wants the staff to consider whether to recommend further regulatory action regarding …
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SEC Adopts Rule Amendments, Guidance on Proxy Voting
Commissioner Allison Herren Lee dissented, describing the rule as unwanted, unwarranted and …
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MFDF Webinar: Recent SEC Guidance on Proxy Voting and the use of Proxy Advisory Firms
This webinar will explore how the SEC’s recent interpretive releases on proxy voting matters may impact …
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SEC Issues Guidance on Proxy Voting
The SEC in a 3-2 vote issued guidance to investment advisers on fulfilling their proxy voting responsibilities …
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IM Staff Withdraws No-Action Letters on Proxy Voting Firms
The staff of the SEC’s Division of Investment Management is reconsidering whether prior staff guidance …
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Report: Universal Proxy Rules May be Off SEC's Agenda
A report by Reuters claims that the SEC has shelved a universal proxy rule proposal that would allow …
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Scrutiny on Proxy Advisory Firms as Legislators Question Potential for Conflicts
The Financial Times is reporting that U.S. regulators are seeking more information on proxy advisory …
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Forum Comment Letter: Proxy Disclosure and Solicitation Enhancements
On September 15, 2009 the Forum submitted its comment letter on the Commission's proposal "Proxy Disclosure …