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Rules and Regulations
SEC Proposes Simplified Prospectus Summaries for Variable Annuities and Variable Life Insurance Contracts
Industry Update
Blass Remarks at the Independent Dire...
Through the first two weeks of November, the FTC convened the fifth, sixth and seventh of its Hearings on Competition and Consumer Protection in the 21st Century. Over six days, the prese...
In a pair of settled enforcement actions involving initial coin offerings that the SEC deemed to be illegal unregistered securities offerings, the agency imposed an agreed-upon remedy tha...
Financial services regulatory reform will continue to evolve in 2018 and 2019. As we observe the changing legislative landscape, here is the Post Midterm Election Edition of our referenc...
New ISS Policies. For meetings on or after February 1, 2019, two new and fairly minimal ISS policies will be applied.
As part of ISS’ client roundtables, one-to-one client discussions ...
As we emerge from the midterm election season, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nomi...
On October 31, 2018, the SEC adopted final rules modernizing disclosure requirements for companies with material mining operations (excluding oil and gas) as part of its ongoing “disclo...
Nearly all shareholder proposals meet the current resubmission thresholds of 3%, 6% and 10%, according to a detailed CII report on the impact of potential modifications to those threshold...
In advance of Thursday’s SEC’s Roundtable on the Proxy Process*, it is worth considering the three-part posts by the Investment Company Institute (ICI) on funds and proxy voting, and ...