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Category: SEC

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SEC Sets New Limits on Exempt Solicitations

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Activist investors have seen better days. In the latest policy shift affecting shareholder activists, new guidance indicates the Securities and Exchange Commission now opposes publishing so-called exempt solicitations from stockholders who...

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SEC’s Stance on Shareholder Proposals Drawing Mixed Reviews

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Last November, the Securities and Exchange Commission essentially told companies they would be on their own when it comes to decisions about excluding shareholder proposals from their proxy statements. The new approach is receiving a mixed...

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IPO Arrows Pointing Up in 2026

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Between inviting economic conditions and a more favorable regulatory climate, all signs are pointing to a banner year for initial public offerings in 2026. The Securities and Exchange Commission has made jumpstarting the market for IPOs a p...

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Crypto ETFs Go Mainstream

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What does the “E” in “ETF” actually stand for? Financial professionals and armchair investors likely know the answer. However, on a recent episode of the popular quiz show Jeopardy!, none of the contestants could give the proper response. P...

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AI Takes on Proxy Advisors

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It looks like proxy advisors may be able to join the growing number of white-collar workers fretting over potential obsolescence thanks to artificial intelligence. That may sound like an overreaction to the news that one financial services...

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