SEC Issues C&DIs on Exempt Solicitations
Public Companies and Securities We recently noted a shareholder proponent had been making aggressive use of Notices of Exempt Solicitation on EDGAR. Exchange Act Rule 14a-6(g)(1) requires that any person who engages in a solicitation pursuant to Exchange Act Rule 14a-2(b)(1) and beneficially owns over $5 million of the class of securities that is the subject of the solicitation […] Read more →
SEC Staff to Hold Roundtable on the Proxy Process
Public Companies and Securities In 2010, the SEC issued a concept release seeking public comment on whether the U.S. proxy system as a whole operates with the accuracy, reliability, transparency, accountability,... Read more →
ISS Launches Annual Global Policy Survey
Public Companies and Securities ISS has launched its annual global policy survey which often foreshadows changes to its voting guidelines. As in 2017, this year’s survey is being conducted in two parts,... Read more →
Commission Disapproves BZX Rule Change to List Winklevoss Bitcoin Trust
Public Companies and Securities Previously, the Bats BZX Exchange, Inc. filed a proposed rule change with the Commission, seeking to list and trade shares of the Winklevoss Bitcoin Trust. The SEC Division of... Read more →