SEC Proposals
- Universal Proxy
Oct 26, 2016
DOL Proposals
SEC Final Releases
- Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
Sep 23, 2020
- SEC Guidance: Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
July 22, 2020
- SEC Final Rule Amendments on Exemptions from the Proxy Rules for Proxy Voting Advice
July 22, 2020
- Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
Aug 21, 2019
- Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Aug 21, 2019
- Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Jun 5, 2019
- Concept Release on the US Proxy System
Jul 14, 2010
- Compliance Programs of Investment Companies and Investment Advisers
Dec 17, 2003
- Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
Jan 31, 2003
- Proxy Voting by Investment Advisers, SEC Release No. IA-2106
Jan 31, 2003
SEC-Related Statements and Other Materials
- Myths and Realities: Modernizing the Proxy Rules
Jan 30, 2020
- SEC Investor Advisory Committee Recommendation on the SEC's Proxy Proposals
Jan 16, 2020
- SEC Roundtable on the Proxy Process (Transcript)
Nov 15, 2018
- Statement Regarding SEC Staff Views
Sep 13, 2018
- Statement Regarding Staff Proxy Advisory Letters
Sep 13, 2018
- Statement Announcing SEC Staff Roundtable on the Proxy Process
Jul 30, 2018
- Testimony on “Oversight of the US Securities and Exchange Commission” Before the Committee on Financial Services, US House of Representatives
Jun 21, 2018
- Governance and Transparency at the Commission and in Our Markets, Speech by Chairman Jay Clayton, Chairman of the SEC, PLI 49th Annual Institute on Securities Regulation
Nov 8, 2017
- Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from the Proxy Rules for Proxy Advisory Firms, Staff Legal Bulletin No. 20 (IM/CF)
Jun 30, 2014
Legislative Proposals and Congressional Correspondence
- HR 5756, “To Require the SEC to Adjust Certain Resubmission Thresholders for Shareholder Proposals”
May 10, 2018
- Letter from Members of the United States Senate Committee on Banking, Housing, and Urban Affairs to Katherine H. Rabin, CEO, Glass, Lewis & Company
May 9, 2018
- Letter from Members of the United States Senate Committee on Banking, Housing, and Urban Affairs to Gary Retelny, President and CEO, Institutional Shareholder Services
May 9, 2018
- HR 4015, the Corporate Governance Reform and Transparency Act of 2017
Dec 20, 2017
- HR 10, the Financial Choice Act of 2017 (Section 482)
Jun 13, 2017
- HR 5983, the Financial Choice Act of 2016 (Section 1082)
Dec 20, 2016
- HR 5311, the Corporate Governance Reform and Transparency Act of 2016
Sep 28, 2016
ISS & Glass Lewis Responses
- Letter from Katherine H. Rabin, CEO, Glass, Lewis & Company, to The Honorable Dean Heller, Chairman, Senate Committee on Banking, Housing, and Urban Affairs
Jun 1, 2018
- Letter from Gary Retelny, President and CEO, Institutional Shareholder Services, to Members of the United States Senate Committee on Banking, Housing, and Urban Affairs
May 30, 2018