Page 5 - Proposing Release News Today

The SEC published final rules in late August 2022 that will require new pay versus performance disclosure in 2023 proxy statements, as described in our earlier client alert. These rules...

SEC adopted final form and rule amendments that: expand the proxy voting information that mutual funds, closed-end funds, exchange-traded funds, and other registered investment companies report on Form N-PX under the Investment Company Act of 1940.

Summary - On 2 November 2022, the U.S. Securities and Exchange Commission (SEC) voted 3-2 to propose amendments (proposed amendments) to Rule 22c-1 under the Investment Company Act of...

SUMMARY - On 26 October 2022, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the Proposed Rule) under the Investment Advisers Act of 1940 (Advisers Act) and...

On October 26, 2022, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 under the Investment Advisers Act of 1940 (Advisers Act), which would prohibit...

On October 26, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted final executive compensation “clawback” rules (the Final Rules)…

On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the “Vendor Oversight Rule” or the “Rule”) to prohibit investment advisers registered...

On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed a new rule under the Investment Advisers Act of 1940 ("Advisers Act") to prohibit registered investment...

The Securities and Exchange Commission on November 2, 2022 proposed significant revisions to its rules governing open-end investment company liquidity risk management and swing pricing....

<p><span>The Commission finally is considering the adoption of a rule that will allow broker-dealers</span><span> to retire the antiquated systems using CD-ROMs or other similar write-once-read-many (or, appropriately primitive, WORM) technology that our current rules require.</span></p>