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Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers

SEC · guidance · Published 2019-09-10 · Effective 2019-09-10 · 84 FR 47420

Document

Document number: 2019-18342
Federal Register citation: 84 FR 47420
CFR reference: 17 CFR 271
Type: Rule
Action: Guidance.
Category: guidance
Agency: US Securities and Exchange Commission
Publication date: 2019-09-10
Effective date: 2019-09-10
Docket: Release Nos. IA-5325

Abstract

The Securities and Exchange Commission (the "SEC" or the "Commission") is publishing guidance regarding the proxy voting responsibilities of investment advisers under its regulations issued under the Investment Advisers Act of 1940 (the "Advisers Act"), and Form N-1A, Form N-2, Form N-3, and Form N-CSR under the Investment Company Act of 1940 (the "Investment Company Act").

Source

Authoritative: Federal Register document
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