Regulatory Alerts2019-12-04 | 2019-24475Added · Updated
Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
The Securities and Exchange Commission proposes amendments to federal proxy rules to ensure investors receive accurate and transparent information when using proxy voting advice. These changes condition existing exemptions for proxy voting advice businesses on compliance with new disclosure and procedural requirements, including the codification that such advice generally constitutes a solicitation. The proposal also clarifies when the failure to disclose specific information in proxy voting advice may be considered misleading under the Securities Exchange Act of 1934.
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