Category: SEC Investor Alert

SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
  • Admin
  • Apr 27, 2021
On March 4, 2021, the SEC announced a new Task Force in the Division of Enforcement. The 22-member team led by Kelly L. Gibson (the Acting Deputy Director of Enforcement) will focus on climate and env....
SEC Adopts Amendments to Modernize Shareholder Proposal Rule
  • Admin
  • Oct 08, 2020
On September 23, 2020, the SEC adopted amendments to modernize its shareholder proposal rule, under the Exchange Act Rule 14a-8. The rule defines requirements for shareholder proposal inclusion in the....
SEC Adopts Amendments on Proxy Voting Advice and Solicitation to Investors
  • Admin
  • Aug 28, 2020
On July 22, 2020, the SEC adopted amendments to its rules that exempt solicitors from furnishing proxy voting advice from the information and filing requirements of the federal proxy rules and issued ....
SEC Announces Meetups for FinTech and Investors
  • Admin
  • Jun 22, 2020
FinTech Meetup On June 11, 2020, the Strategic arm of the SEC for Innovation and Financial Technology (FinHub) announced the launch of virtual peer-to-peer meet-ups (P2Ps), as a solution to its in-pe....