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When taken as a whole, the agency's enforcement and regulatory activity during the quarter demonstrates that the Commission is continuing to remain vigorous in its efforts to protect investors.
REGULATORY UPDATES - William Birdthistle Named Director of Division of Investment Management - On December 21, 2021, the Securities and Exchange Commission (...
On November 17, 2021, the Securities and Exchange Commission (the "SEC" or the "Commission") voted 3-2 to propose amendments to the rules governing proxy voting advice that were enacted last year.