Daniel Bresler

Seward & Kissel LLP

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Reminder for 13F Filers: Deadline to Report Proxy Votes on Form N PX is August 31, 2024

Seward & Kissel is reminding its clients about the SEC’s new proxy vote reporting requirements that are applicable to certain institutional investment managers. The Form N‑PX filing deadline is August 31, 2024....more

8/13/2024 / Filing Deadlines , Proxy Voting , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

Proxy Vote Reporting: Considerations for Institutional Investment Managers as the Form N-PX Filing Deadline Approaches

New Rule 14Ad-1 under the Exchange Act – which becomes effective on July 1, 2024 – will require institutional investment managers subject to the reporting requirements of Section 13(f) of the Exchange Act (known as “13F...more

6/4/2024 / Filing Deadlines , Institutional Investors , Proxy Voting , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

SEC Enforcement of Off-Channel Communications Continues - New Series of Firms Charged with Penalties Totaling $289 Million

Summary of the Recent SEC Actions - On August 8, 2023, in yet another set of enforcement actions in the space, the U.S. Securities and Exchange Commission (the “SEC”) settled charges against ten broker-dealers and a dually...more

8/18/2023 / Broker-Dealer , Enforcement , Investment Adviser , Noncompliance , Penalties , Policies and Procedures , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

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