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  • SEC Proposes Rule Amendments To Improve Accuracy And Transparency Of Proxy Voting Advice

    Date 05/11/2019

    The Securities and Exchange Commission today voted to propose amendments to its rules governing proxy solicitations to enhance the quality of the disclosure about material conflicts of interest that proxy voting advice businesses provide their clients. The proposal would also provide an opportunity for a period of review and feedback through which companies and other soliciting parties would be able to identify errors in the proxy voting advice. The review and feedback period would only be available to companies that file definitive proxy materials 25 days or more in advance of the relevant meeting. The Commission’s proposal aims to enhance the accuracy and transparency of the information that proxy voting advice businesses provide to investors and others who vote on investors’ behalf, and thereby facilitate their ability to make informed voting decisions.

  • Cboe Global Markets Reports October 2019 Trading Volume - European Equities ADNV Up 5.7% Over September 2019 Global FX ADNV Up 4.3% Over September 2019

    Date 05/11/2019

    Cboe Global Markets, Inc. (Cboe: CBOE), one of the world's largest exchange holding companies, today reported October monthly trading volume.

  • Statement At The Open Meeting: Procedural Requirements And Resubmission Thresholds Under Exchange Act Rule 14a-8, SEC Commissioner Elad L. Roisman, Nov. 5, 2019

    Date 05/11/2019

    Thank you, Chairman Clayton. 

    As you mentioned, Rule 14a-8, our shareholder proposal rule, allows a shareholder who meets certain eligibility criteria to have his or her proposal included in a company’s proxy statement and put to a shareholder vote.  Without this rule, a shareholder seeking to force a vote on a proposal would have to pay for his or her own proxy solicitation, in compliance with the federal proxy rules, a process that can be expensive and difficult to navigate for the inexperienced. 


  • Dissenting Statement By CFTC Commissioner Brian Quintenz Before The Open Commission Meeting Of November 5, 2019

    Date 05/11/2019

    Today, the Commission is considering whether to formally register as foreign boards of trade (FBOTs) three prominent European futures exchanges (Euronext Amsterdam, Euronext Paris, and European Energy Exchange) that have been permitted to directly access the U.S. market for many years under staff no-action relief.  Both the Commission’s previous policy of granting no-action relief and current policy of registering foreign exchanges as FBOTs are premised on a policy of deference to foreign regulatory regimes.  The Commission assesses whether foreign exchanges are regulated comparably to how the CFTC supervises U.S. designated contract markets (DCMs), and, if so, permits the exchange to access U.S. markets without complying with the Commission’s DCM regulations or being subject to regularly scheduled CFTC examinations.[2]  This policy efficiently promotes cross-border markets and rationally focuses the Commission’s supervisory resources on U.S. exchanges.  While I do not disagree with the substance of granting these exchanges permanent status as registered FBOTs, I do disagree with the timing of today’s move by the Commission to finalize and formalize the status of these three European exchanges as registered FBOTs.

  • Statement Of SEC Chairman Jay Clayton On Proposals To Enhance The Accuracy, Transparency And Effectiveness Of Our Proxy Voting System

    Date 05/11/2019

    Good morning.  This is an open meeting of the U.S. Securities and Exchange Commission, under the Government in the Sunshine Act.

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