Included below are links to proxy-related policy materials from the past several years. It is not meant to be exhaustive.
SEC Proposals
- Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Jul 13, 2022
SEC Final Releases
- Proxy Voting Advice
July 13, 2022
- Universal Proxy
Nov 17, 2021
- Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
Sep 23, 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
- Shareholder Proposals: Staff Legal Bulletin No. 14L (CF)
Nov 3, 2021
- Statement Regarding Staff Proxy Advisory Letters
Sep 13, 2018
- 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