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https://www.sec.gov/rules/final.shtml
Effective Date: The effective date for this release is April 30, 2019. The effective date for the amendments to Rules 600, 605, and 606 of Regulation NMS remains January 18, 2019.
https://www.gfrlaw.com/what-we-do/insights/secs-e-proxy-rules-new-internet-posting-and-delivery-requirements
If you haven't already started to get organized for the 2008 proxy season you soon will be starting, so now is a good time to consider the SEC's new "E-Proxy" rules, including new Exchange Act Rule 14a-16. Compliance with these rules is mandatory. They require every issuer that solicits proxies to deliver soliciting material using one of two methods (or a combination of the two).
https://www.dfinsolutions.com/insights/guide/guide-sec-e-delivery-rule-what-it-means-you-and-your-investors
Learn about the recently rolled out SEC e-delivery rule (30e-3), which provides fund investors with a more modernized, personalized and easier-to-understand solution to viewing shareholder reports.
https://www.bloomberg.com/news/articles/2019-11-14/sec-s-new-proxy-voting-rules-take-aim-at-powerful-advisory-firms
Nov 14, 2019 · New Proxy Voting Rules Take Aim at Powerful Advisory Firms Lobbyists are pushing the SEC to rein in companies like ISS and Glass Lewis that help big investors decide whether to …
https://www.foley.com/en/insights/publications/2007/10/sec-adopts-new-rules-for-internet-delivery-of-prox
The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to its proxy rules under the Securities Exchange Act of 1934 creating a new “notice and access model” for proxy solicitations for public companies. 1 The new model provides for two alternatives for delivering proxy materials: the “notice only option” and the “full set delivery option.”
https://www.paulhastings.com/docs/default-source/PDFs/752.pdf
SEC Adopts Rules Mandating Internet Delivery of Proxy Materials From the Investment Management Practice Group SUMMARY The Securities and Exchange Commission (the “Commission”) has adopted amendments to the proxy rules under the Securities Exchange Act of 1934 (the
https://www.ropesgray.com/en/newsroom/alerts/2018/06/SEC-Adopts-Rule-Permitting-Notice-and-Access-Delivery-of-Shareholder-Reports
The SEC has scheduled an open meeting for April 8, 2020, to consider whether to adopt amendments that would permit business development companies (“BDCs”) and registered closed-end funds (“registered CEFs”) to use the securities offering and proxy rules that are already available to operating companies. Read More
https://www.law.cornell.edu/cfr/text/17/240.14a-16
(a) (1) A registrant shall furnish a proxy statement pursuant to § 240.14a-3(a), or an annual report to security holders pursuant to § 240.14a-3(b), to a security holder by sending the security holder a Notice of Internet Availability of Proxy Materials, as described in this section, 40 calendar days or more prior to the security holder meeting date, or if no meeting is to be held, 40 ...
https://www.law.cornell.edu/cfr/text/17/240.14a-4
§ 240.14a-4 Requirements as to proxy. (a) The form of proxy (1) shall indicate in bold-face type whether or not the proxy is solicited on behalf of the registrant 's board of directors or, if provided other than by a majority of the board of directors, shall indicate in bold-face type on whose behalf the solicitation is made;
https://www.law.cornell.edu/cfr/text/17/240.14a-6
§ 240.14a-6 Filing requirements. (a) ... of the Securities Exchange Act of 1934 ... The inclusion of a security holder proposal in the registrant's proxy material pursuant to Rule 14a-8 does not constitute a “solicitation in opposition,” even if the registrant opposes the proposal and/or includes a statement in opposition to the proposal.
https://www.law.cornell.edu/cfr/text/17/240.14a-101
Section 240.14a-101. Schedule 14A. Information required in proxy statement. 17 CFR § 240.14a-101 - Schedule 14A. Information required in proxy statement. CFR ; Table of Popular Names ... the section of the Securities Act or rule of the Commission under which exemption from such registration is claimed and the facts relied upon to make ...
https://www.ey.com/publication/vwluassetsdld/2019proxystatements_05133-181us_6december2018-v2/$file/2019proxystatements_05133-181us_6december2018-v2.pdf?OpenElement
This publication is intended to help c ompanies preparing for the 2019 proxy season draft their proxy statements. It discusses proxy rules and trends of the Securities and Exchange Commission (SEC) such as the growth in the number of companies going beyond the requirements to …
https://cooleypubco.com/2018/03/05/amendments-eliminating-delivery-to-nyse-hard-copies-proxy-materials/
Mar 05, 2018 · On March 1, the SEC approved the NYSE’s proposal to largely eliminate the requirement to provide hard copies of proxy materials to the NYSE. Prior to approval of the amendment, listed companies were required to provide hard copies of proxy materials to the NYSE under Section 204.00(B) and Section 402.01 of the NYSE Manual. Notwithstanding the…
https://www.investor.gov/introduction-investing/investing-basics/glossary/householding-rules
To avoid duplication, the SEC allows funds to deliver a single copy of the same document to investors who share the same address. The SEC’s so-called "householding rules” cover prospectuses, annual and semi-annual reports, and proxy and information statements.
https://www.shearman.com/perspectives/2020/03/sec-issues-order-extending-conditional-exemptions-from-reporting-and-proxy-delivery-covid-19
Mar 27, 2020 · SEC ISSUES ORDER EXTENDING CONDITIONAL EXEMPTIONS FROM REPORTING AND PROXY DELIVERY. As part of its response to the effects and economic disruption that the novel coronavirus disease 2019 (“COVID-19”) is causing to the worldwide economy, on March 25, 2020, the Securities and Exchange Commission (“SEC”) issued an order to extend the conditional relief for …
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