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The final rules go into effect 60 days after their date of publication in the Federal Register February 27, 2023. After such date, any new or amended Rule 10b5-1 trading plan must comply with the requirements of the final rules.
How Companies Can Prepare for SEC Proxy Advisor Reform Tuesday, January 12, 2021 The SEC’s long-awaited final rules governing voting advice provided by proxy advisory firms such as Institutional Shareholders Service (ISS) and Glass Lewis (the “final rules”) became effective on November 2, 2020. The final rules confirm that proxy advice constitutes a solicitation under the federal proxy rules, and provide proxy advisory firms with a conditioned exemption from the filing and information requirements that would normally apply to such solicitations. To secure the exemption, prox...