SEC Open Meeting Agenda
|Item 1:||Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies|
Office: Division of Investment Management
Staff: Susan Nash, Paul G. Cellupica, Christian L. Broadbent, Nicholas C. Milano
Proxy Voting by Investment Advisers
Staff: Robert E. Plaze, Jamey L. Basham, Daniel S. Kahl
For further information, please contact Christian L. Broadbent at (202) 942-7972 or Nicholas C. Milano at (202) 942-0548.
The Commission will also consider whether to propose new rule 206(4)-6 under the Investment Advisers Act of 1940 that would require registered investment advisers to adopt proxy voting policies and procedures, and to disclose to clients those policies and procedures and how clients can obtain information about how the adviser has voted their proxies. In addition, the Commission will consider an amendment to rule 204-2 under the Investment Advisers Act of 1940 that would require advisers to keep records of how they vote client proxies.
For further information, please contact Jamey L. Basham at (202) 942-7971 or Daniel S. Kahl at (202) 942-0665.
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