In this issue:
- SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation
- SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more
7/14/2014
/ Accredited Investors ,
Audits ,
C&DIs ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
General Solicitation ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Proxy Advisors ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Verification Requirements
On May 16, the Securities and Exchange Commission’s Division of Corporation Finance issued 13 new and revised Compliance and Disclosure Interpretations (C&DIs) on a range of topics under the Securities Act of 1933 (Securities...more