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Searching Content indexed under Shareholders by Steven Lofchie ordered by Published Date Descending.
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SEC Commissioner Peirce Criticizes Proxy Process
In remarks at the Council of Institutional Investors Spring Conference, SEC Commissioner Hester Peirce highlighted developments in the proxy system, touching on disclosure reform efforts...
United States
18 Mar 2019
2
SEC Commissioner Advocates for Letting Investors Make Their Own Decisions
SEC Commissioner Hester M. Peirce advocated for a flexible regulatory approach that allows firms to experiment with new technologies and provides investors with a wider selection of investment choices.
United States
17 Oct 2018
3
SEC Commissioner Criticizes Recent SEC Actions Relating To Proxy Advisors
SEC Commissioner Robert J. Jackson Jr. urged the SEC to preserve the current role of proxy advisors in shareholder voting.
United States
23 Sep 2018
4
Senator Warren Introduces Bill To Require That Large Companies Create A General Public Benefit
Senator Elizabeth E. Warren (D-MA) introduced a bill intended to get rid of "skewed market incentives" and force corporations to be more accountable to employees and other stakeholders.
United States
30 Aug 2018
5
SEC Addresses Delivery Of Mutual Fund Documents To Shareholders
The SEC approved a rule and two requests for comments relating to mutual fund disclosure.
United States
7 Jun 2018
6
SEC Investor Advocate Objects To Mandatory Arbitration Of Shareholder Class Actions
SEC Investor Advocate Rick Fleming expressed disapproval of mandatory arbitration provisions that prohibit shareholders from pursuing class actions.
United States
28 Feb 2018
7
SEC Leaders Debate Current Issues In Shareholder Engagement
SEC Chair Jay Clayton, SEC Commissioner Kara Stein and other SEC officials and industry leaders shared perspectives on developing challenges and opportunities in shareholder engagement.
United States
26 Jan 2018
8
Firm Settles Charges With SEC For Selling Security-Based Swaps To Retail Investors
A San Francisco-based firm settled charges with the SEC for violating federal securities laws by offering and selling security-based swaps to pre-IPO-company shareholders and investors...
United States
14 Dec 2016
9
SEC Chair White Outlines SEC Disclosure Developments
SEC Chair Mary Jo White reviewed the development of SEC disclosure in corporate governance.
United States
7 Jul 2016
10
Investment Firm Will Pay $194 Million Compensation For Proxy Voting Error
An investment firm announced that it will pay approximately $194 million to compensate certain clients for a proxy voting error made in connection with the leveraged buyout of a computer technology company in 2013.
United States
14 Jun 2016
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