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  • MIAX Options Exchange - October 1, 2021 Non-Transaction Fee Changes

    Date 29/09/2021

    Effective October 1, 2021, MIAX Options will reinstate fees for its Complex Top of Market (“cToM”) data feed and begin to charge a fee of $1,250 per month for internal distribution and $1,750 per month for external distribution (pending re-filing with the SEC).  

  • Statement On Proposal To Enhance Reporting Of Proxy Votes By Registered Management Investment Companies And Reporting Of Executive Compensation Votes By Institutional Investment Managers, SEC Chair Gary Gensler, Sept. 29, 2021

    Date 29/09/2021

    Opening Statement and Thank Yous

    Good morning. This is an open meeting of the U.S. Securities and Exchange Commission on September 29, 2021. I want to welcome members of the public who are listening in.

    This is my first open meeting as Chair of this remarkable agency. While there will be times when we vote on rulemakings via seriatim, I like open Commission meetings. I think open meetings can bring greater transparency to our work, and the public benefits when we can open up our deliberations to them. I hope it will be the first of many during my tenure.

  • BIS: Big Tech Regulation: What Is Going On?

    Date 29/09/2021

    Several regulatory initiatives have emerged in China, the European Union and the United States to address new challenges presented by big techs. While each of these jurisdictions has focused on different policy areas, the greatest number of initiatives have been conducted in the area of competition. The initiatives generally seek to achieve a balance between addressing the different risks posed by big techs and preserving the benefits they bring in terms of market efficiency and financial inclusion. While recent initiatives constitute important steps in addressing risks posed by big techs, additional regulatory responses might be needed. These will include the development of entity-based rules to address the unique combination of risks posed by big techs.

  • Statement On Proposed Changes To Asset Managers’ Proxy Voting Disclosures, SEC Commissioner Elad L. Roisman, Sept. 29, 2021

    Date 29/09/2021

    Thank you, Chair Gensler, and thank you to the staff in the Division of Investment Management (the “Division”) for your hard work on the recommendation we are considering today, to propose amendments to disclosures that asset managers make with regard to their proxy voting.[1]  As no recommendation gets to the Commission without scrutiny from our Division of Economic and Risk Analysis and Office of General Counsel, I would like to thank the staff in these groups for their work as well.  Finally, thank you to everyone who engaged with my team and me on the matters we are considering today.

  • Shining A Light On Corporate Democracy: Statement On Updates To Form N-PX, SEC Commissioner Allison Herren Lee, Sept. 29, 2021

    Date 29/09/2021

    Corporations are owned by shareholders and shareholders have a voice in how their companies are run. That voice comes through the voting rights attached to their shares. Who handles that voting? Largely, investment companies (“funds”) and institutional investment managers (“managers”) because most Americans who invest do so through funds and other intermediaries. As a result, funds and managers wield significant influence at the corporate ballot box. Opinions vary widely about whether to vote for or against specific proxy proposals. That’s as it should be; that’s how corporate democracy works. In fact, it’s that divergence of views that makes transparency around how votes are cast all the more important. That is what today’s proposal is about.