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Topic: Proxies

Guidance on Proxy Advisory Firms and Proxy Voting Issued by SEC Staff

July 11, 2014
The SEC has once again dipped its toe into the recently churned waters of proxy advisory firms and proxy voting and is this time providing some answers.

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Role of Proxy Advisory Services Discussed and Debated at SEC Roundtable

December 12, 2013

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Proxy Advisory Firms and Their Role Up for Debate

November 15, 2013

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Reliance on Third-Party Proxy Advisory Firms Called into Question

July 19, 2013

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SEC Brings First Proxy Voting Enforcement Case

May 15, 2009

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OCIE Issues Second ComplianceAlert Letter

July 25, 2008

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Form ADV Part 2: The Reviews Are In

June 6, 2008

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SEC to Fidelity: Include Shareholder Proposal to Screen Out Unethical Investments

February 1, 2008

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DOL Reiterates Guidance on Voting ERISA Proxies

January 11, 2008

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