Proxy Voting

Looking to identify IAs who outsource voting decisions

Contact the Commission with guidance or relief requests

To the extent any of these market participants are registered investment advisers under the SEC’s jurisdiction, I believe it is important that we identify any ...

SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...

Institutional investors and asset managers are not the only investors that the SEC is charged to protect

The proposed amendments would codify the Commission’s interpretation that proxy voting advice generally constitutes a solicitation

A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...

Get tips for handling your proxy voting responsibilities

The authority to vote the clients’ proxies was not sought

In two separate instances in 2015, Three Bridge, a registered investment adviser, voted proxies with respect to client securities held in dozens of client accounts, ...