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Proxy Voting (65)
Your search for Proxy Voting returned 65 results.
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11/15/2018 | Content area: Investment Adviser
A day-long meeting Nov. 15 before SEC commissioners recounted a litany of problems around proxy voting and sprinkled potential solutions that may ulti...
9/18/2018 | Content area: Investment Adviser
With this pending Roundtable and other policy considerations in mind, the staff of the Division of Investment Management has recently re-examined the ...
9/13/2018 | Content area: Investment Adviser
Some two weeks after a new group urged the Commission to tamp down on the administrative state (IA Watch, Aug. 30, 2018), SEC Chairman Jay Clayton has...
7/20/2018 | Content area: Investment Adviser
    Securities Exchange Act of 1934 - Rule 14a-8 Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capi...
5/11/2018 | Content area: Investment Adviser
We are unable to concur in your view that the Fund may exclude the Proposal from the Proxy Materials under Rule 14a-8(i)(3). We do not conclude that y...
3/08/2018 | Content area: Investment Adviser
We are unable to concur in your view that the Fund may exclude the Proposal from the Proxy Materials under Rule 14a-8(i)(3). We are unable to conclude...
1/25/2018 | Content area: Investment Adviser
We are unable to conclude that you have demonstrated objectively that the proposal is materially false or misleading, including by impugning the integ...
1/19/2018 | Content area: Investment Adviser
We need to ask if our rule set has kept pace. For example, increasingly, a second layer of separation between ownership and control has opened betwee...
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
3/01/2017 | Content area: Investment Adviser
Click here to open a Word document that is an example, from one of your peers, of a proxy voting policy.
10/26/2016 | Content area: Investment Adviser
Today’s proposed rule would require the use of universal proxy cards in all contested elections of directors, other than solicitations that are exempt...
10/26/2016 | Content area: Investment Adviser | Broker-Dealer
I find the proposed solution to not receiving the dissident’s proxy statement to be interesting. The company’s proxy statement would simply advise th...
10/26/2016 | Content area: Broker-Dealer
We are proposing amendments to the federal proxy rules to require the use of universal proxies in all non-exempt solicitations in connection with cont...
8/31/2016 | Content area: Private Fund
The related disclosures of RBC’s precedent transaction analysis define “Adjusted EBITDA” for the precedent target companies as being adjusted to accou...
7/27/2016 | Content area: Investment Adviser
We are unable to concur in your view that the Fund may exclude the Proposal under Rule 14a-8(c) of the 1934 Act. Accordingly, we do not believe that t...
8/12/2015 | Content area: Investment Adviser
The Proposals request that the Boards of Trustees of each Fund implement certain procedures to prevent the Funds from holding investments in companies...
6/25/2015 | Content area: Investment Adviser | Broker-Dealer
She takes on four topics: preliminary voting results, universal proxy ballots, unelected directors and shareholder proposals.
3/25/2015 | Content area: Investment Adviser
      Securities Exchange Act — Rule 14a-8(i)(7) Tom DeWard Shareholder Proposal (LMP Real Estate Income Fund, Inc.), (March 2...
1/22/2015 | Content area: Investment Adviser
The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just li...
1/01/2015 | Content area: Broker-Dealer
(a) The form of proxy (1) shall indicate in bold-face type whether or not the proxy is solicited on behalf of the registrant's board of directors or, ...


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