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SEC Proposes Standardized ESG Disclosure for Funds and Advisers

USA - June 29 2022 On May 25, the Securities and Exchange Commission (SEC) proposed amendments to rules and forms under the Investment Company Act of 1940 and the…

Andrew J. Davalla, Tashia Love

SEC Amends Proxy Voting Advice Rules

USA - September 17 2020 Thompson Hine is pleased to share with you the latest episode of Market Matters, our podcast series that explores legal and regulatory issues…

Nathan E. Holmes

SEC Grants No-Action Relief to Purchase of Debt Securities from Affiliated Mutual Fund

USA - March 27 2020 On March 26, 2020, the Division of Investment Management of the Securities and Exchange Commission (SEC) issued a no-action letter to the Investment…

SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns

USA - March 17 2020 On March 13, 2020, the Securities and Exchange Commission’s Divisions of Corporation Finance and Investment Management issued joint guidance…

Andrew J. Davalla

Proposed Proxy Rule Amendments

USA - November 24 2019 Thompson Hine is pleased to share with you the latest Episode of Market Matters, our podcast series that explores legal and regulatory issues…

Nathan E. Holmes