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The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities

USA - August 3 2020 Proxy advisory firms (Proxy Firms) have long provided institutional investors advice and recommendations with respect to management and shareholder…

Richard M. Cutshall, Arthur Don, Steven M. Felsenstein

2020 SEC Exam Priorities for Securities Industry Registrants

USA - January 21 2020 The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of 2020…

Richard M. Cutshall, Arthur Don, Steven M. Felsenstein

SEC Proposes Conditional Exemption for Certain Activities of Registered Municipal Advisors

USA - December 18 2019 Section 15 (a)(1) of the Securities Exchange Act of 1934 (Exchange Act) generally prohibits a broker or dealer from effecting “any transactions in…

Elaine C. Greenberg, William B. Mack

2019 Report on FINRA Examination Findings and Observations

USA - October 30 2019 In October 2019, the Financial Industry Regulatory Authority (FINRA) released its “2019 Report on FINRA Examination Findings and Observations” (the…

Richard M. Cutshall, William B. Mack

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter

USA - January 29 2019 On Jan. 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its 14th Annual Risk Monitoring and Examination Priorities Letter…

Paul Ferrillo, William B. Mack