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New rules for proxy contests - the Mandatory Universal Proxy Card

USA - January 24 2022 On November 17, 2021, the Securities and Exchange Commission (the SEC or Commission) voted to adopt final rules requiring parties in a contested…

Britny T. Auletti, Cynthia M. Krus, Jeanne M. Waters

SEC’s focus on compliance: What boards should know

USA - December 28 2021 Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of their…

Jake C. DuCharme, Devan E. Fogle, Cynthia M. Krus, Jeanne M. Waters

Diversity boost in the boardroom: SEC approves Nasdaq’s new rules to spark increased board diversity for listed companies

USA - August 11 2021 On August 6, 2021, the Securities and Exchange Commission (SEC) approved The Nasdaq Stock Market LLC’s (Nasdaq) Board Diversity Rule, which is…

Cynthia R. Beyea, Steven B. Boehm, Kristin Hespos Burns, Jake C. DuCharme, Stephani M. Hildebrandt, Cynthia M. Krus, Anne G. Oberndorf, Owen J. Pinkerton

SEC provides immediate temporary flexibility to BDCs regarding asset coverage and co-investment in response to COVID-19 pandemic

USA - April 9 2020 On April 8, 2020, the staff of the Division of Investment Management of the US Securities and Exchange Commission (Commission) issued an exemptive…

Steven B. Boehm, Cynthia M. Krus, Anne G. Oberndorf, Payam Siadatpour

Annual meetings in the time of coronavirus

USA - March 20 2020 On March 13, 2020, the Securities and Exchange Commission (SEC) provided staff guidance regarding compliance with federal proxy rules for upcoming…

Jake C. DuCharme, Cynthia M. Krus