Tuesday, September 29. 2026

SEC Staff to Hold Open Meeting

The SEC’s Divisions of Investment Management and Corporation Finance will hold an open meeting via webcast on the SEC’s site to discuss potential amendments affecting performance‑based adviser compensation, closed‑end fund repurchase and share‑class rules, and criteria for accredited investor qualifications.
{expires: 2026-10-01}
Continue reading "SEC Staff to Hold Open Meeting" »
Posted by
LeAnn Dey
in Corporation Finance, Events, Investment Management, SEC at 09:30

Wednesday, September 23. 2026

SEC Proposes Modernization of Proxy Solicitation Rules

On September 16, the SEC proposed amendments to modernize its proxy solicitation framework, address developments since certain requirements were adopted or last amended, and simplify compliance for registrants. The proposal focuses on requirements associated with annual reports, incorporated documents, exempt solicitations, and the broker search process. Continue reading "SEC Proposes Modernization of Proxy..." »
Posted by
LeAnn Dey
in Corporation Finance, EDGAR News, SEC at 15:15

Monday, September 21. 2026

SEC Proposes Changes to Shareholder Proposal Rules and Rescission of Rule 14a-8

On September 16, the SEC proposed rescinding Rule 14a-8, the shareholder proposal rule, which governs when companies must include shareholder proposals in their proxy materials. Rescission would leave those determinations to state law and company governing documents, where permitted by state law. The SEC concluded that the rule exceeds its statutory authority under Section 14(a) of the Exchange Act and that many of the original justifications for adopting the rule have not been proven or are less relevant today. Continue reading "SEC Proposes Changes to Shareholder Proposal..." »
Posted by
LeAnn Dey
in Corporation Finance, Investment Management, SEC at 17:00

Wednesday, September 02. 2026

SEC Proposes Amendments to Enhance Oversight of Registered Transfer Agents

On September 1st, the SEC proposed revisions to the rules and forms that regulate registered transfer agents, entities that represent an essential part of the US clearance and settlement framework. The rulemaking marks the first substantial update to these rules since the early 1980s. The proposal introduces new rules, amends existing requirements, modernizes significant registration and reporting forms, and rescinds one outdated rule. Continue reading "SEC Proposes Amendments to Enhance Oversight of..." »
Posted by
LeAnn Dey
in Corporation Finance, DERA, Investment Management, SEC at 14:30
(Page 1 of 1, totaling 4 entries)