Vedder Thinking | Articles Investment Services Regulatory Update August 2022

Newsletter/Bulletin

August 12, 2022

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SEC Adopts Amendments to Rules Governing Proxy Voting Advice, Rescinding Certain 2020 Amendments

SEC Proposes Amendments to Rules Governing the Exclusion of Shareholder Proposals in Proxy Statements

SEC Settles Charges Against Insurance Company for Allegedly Misleading Disclosures About Variable Annuity Fees

SEC Settles Charges Against Adviser and CCO for Compliance Failures, Holding CCO Personally Liable

SEC Division of Investment Management Director William Birdthistle Provides Remarks at PLI: Investment Management 2022

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