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The SEC published its spring 2022 regulatory priorities for the next 12 months. Key items on the short-term agenda:
Other Noteworthy Items:
On July 13, the SEC modified the rules governing proxy advisers – they will no longer be required to provide (1) their voting recommendations to issuers at or before they are provided to clients and, (2) their clients with a mechanism to become aware of the issuers written response.
On July 13, the SEC proposed amendments to the rule that governs the process for including shareholder proposals in a company’s proxy statement. The amendments would revise three of the substantive bases for exclusion of shareholder proposals under the rule: the substantial implementation exclusion; the duplication exclusion; and the resubmission exclusion.
On June 23, the SEC adopted amendments to require certain documents filed by investment advisers, institutional investment managers and certain other entities to be filed or submitted electronically.
On June 15, the SEC announced it is requesting information and public comment on matters related to the activities of certain “information providers,” including whether, under particular facts and circumstances, information providers are acting as “investment advisers” under the Advisers Act.
On June 16, the SEC issued a statement announcing the Senate Confirmation of Jaime Lizárraga and Mark Uyeda to serve as commissioners.
The DOL published its spring 2022 regulatory priorities for the next 12 months. Key items on the short-term agenda include:
On June 28, FINRA posted a podcast to mark the second anniversary of the implementation of Regulation Best Interest and Form CRS.
FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms identical or substantially similar to listed options.
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions involving only one member (other than the ATS).
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