Certain shareholder communications and proxy voting activities are regulated by the stock exchanges, led by the New York Stock Exchange (NYSE).  Stock exchanges oversee these activities through listing standards and internal regulatory rules. This section describes developments on shareholder communications and proxy voting at the New York Stock Exchange and NASDAQ.   

Shareholder communications and proxy voting activities are primarily regulated by the U.S. Securities and Exchange Commission (SEC).  Many of the SEC's regulations governing the proxy process have not been updated for decades, although the SEC has started a process to modernize its rules. This section describes developments on shareholder communications and proxy voting at the SEC. 

Regulatory Posts

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