Regulatory Alerts2021-11-26 | 2021-25420Added · Updated
Securities and Exchange Commission Proposed Rule on Proxy Voting Advice
The Securities and Exchange Commission proposes amendments to Federal proxy rules governing proxy voting advice businesses to address market feedback and recent developments. The proposed changes would remove specific conditions requiring proxy voting advice businesses to provide registrants with advance review opportunities and to provide clients with mechanisms to access registrant responses. Additionally, the Commission proposes removing a note that provided examples of misleading statements in proxy voting advice, while clarifying the application of anti-fraud prohibitions to statements of opinion.
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