At an open meeting held on July 22, 2020, the Securities and Exchange Commission (SEC) adopted reforms to the proxy solicitation rules (Proxy Advice Amendment) that govern how proxy advisory firms (e.g., Glass, Lewis & Co....more
On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more
11/21/2019
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Books & Records ,
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Investment Advisers Act of 1940 ,
Investors ,
Marketing ,
Policies and Procedures ,
Private Funds ,
Proposed Rules ,
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Securities and Exchange Commission (SEC) ,
Solicitation ,
Testimonial Statements ,
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