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In this Report:
In the past month, no rulemaking requirement deadlines passed, three rulemaking requirements were finalized and one rule was proposed that would meet four rulemaking re...
The SEC has announced its agenda and panelists for the roundtable on proxy advisory services to be held on December 5 at 9:30 a.m. EST. The event will be webcast live as well as archived....
SEC Rules and Regulations
IM Guidance Update Clarifies Stance on Aggregating the Investments of Certain Investors Across Funds to Satisfy Qualified Client Standard
SEC Extends No-Acti...
Even with the intense focus on improving proxy disclosure, a recent survey of investors from RR Donnelley indicates that few read all the details. 60% responded that they skip directly to...
With a focus on longer-term policy changes that extend beyond 2014, ISS has opened a new consultation period on several important topics, including key aspects of how they review director...
ISS has issued two policy updates for the U.S. market, effective for meetings on or after February 1, 2014. Both are consistent with the proposals that ISS put out for comment, which we p...
On September 15, 2013, Judge Martin Glenn of the United States Bankruptcy Court for the Southern District of New York issued an opinion in the Residential Capital (“ResCap”) bankruptc...
After adopting bylaws to allow for annual meetings to be held solely via online technology (known as virtual-only meetings), both PNC Financial Services and Bank of New York Mellon receiv...
The NYSE is hosting a webcast previewing the 2014 proxy season, on Monday, November 25 from 12 Noon to 1:00 pm (EST). We will discuss the key developments and trends expected during the 2...
On November 5, 2013, the Commodity Futures Trading Commission proposed rules to establish new position limits that would apply to 28 agricultural, energy and metals futures contracts, and...