For nearly 20 years, mutual funds have been required to report to the public on the proxy votes they cast at annual shareholder meetings. The […]
Tag: SEC
Federal Judge Criticizes SEC “No-Admit-No-Deny Provisions” in Enforcement Action Settlements
From SEC v. Moraes, decided today by Judge Ronnie Abrams (S.D.N.Y.): In its normal practice of settling enforcement actions, the SEC routinely demands that defendants […]