SEC Proxy Concept Release and STA Comment Letter
SEC proposed amendments to proxy voting advice businesses from the filing of information requirements and STA Comment Letter
SEC Grants Temporary Exemption to Transfer Agents
As an attempt to provide relief from Covid19, the Securities and Exchange Commission granted the following exemptions to the registered transfer agents on March 20, 2020: The clearance and settlement…
SEC Proposes New Transfer Agent Rules
The SEC released an advance notice regarding a concept release and proposed rulemaking for transfer agents on December 22, 2015. The Advance Notice of Proposed Rulemaking (ANPR) outlines the proposed…