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Proxy Voting
The SEC's proposed rule related to proxy disclosures related to the 33 and 34 Act as well as the investment Company Act. This proposal was ...
If your firm switches from not having to having discretion over client accounts then it also falls under the compliance obligations of the proxy rule.Draw ...
For the first time, the SEC has brought an enforcement action tied to the proxy voting rule [Advisers Act rule 206(4)-6], and the case's resolution ...
Investment Advisors Act of 1940 – Rule 206(4)-6 Institutional Shareholder Services, Inc. September 15, 2004 Mari Anne Pisarri, Esq. Pickard and Djinis LLP 1990 M ...
Investment Advisers Act of 1940 – Rule 206(4)-6 Egan-Jones Proxy Services May 27, 2004 Kent S. Hughes Managing Director Egan-Jones Proxy Services 61 Station Road ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...
No-Action Letter under Investment Company Act of 1940 — Section 3(a) and 7 Investment Advisers Act of 1940 — Section 203(a) Tuition Plan Consortium, LLP ...