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SEC

RIN: 3235-AK67

Publication ID: Spring 2020

Title: Reporting of Proxy Votes on Executive Compensation and Other Matters
Abstract: The Division is considering recommending that the Commission repropose rule amendments to implement section 951 of the Dodd-Frank Act. The Commission previously proposed amendments to rules and Form N-PX that would require institutional investment managers subject to section 13(f) of the Exchange Act to report how they voted on any shareholder vote on executive compensation or golden parachutes pursuant to sections 14A(a) and (b) of the Exchange Act.
Agency: Securities and Exchange Commission(SEC)	Priority: Substantive, Nonsignificant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Long-Term Actions
Major: Undetermined	Unfunded Mandates: No
EO 13771 Designation: Independent agency
CFR Citation: 17 CFR 240.14Ad-1 (new) 17 CFR 249.326 (new) 17 CFR 270.30b1-4 17 CFR 274.129
Legal Authority: 15 U.S.C. 78m 15 U.S.C. 78w(a) 15 U.S.C. 78mm 15 U.S.C. 78x 15 U.S.C. 80a-8 15 U.S.C. 80a-29 15 U.S.C. 80a-30 15 U.S.C. 80a-37 15 U.S.C. 80a-44 Pub. L. 111-203, sec. 951

Legal Deadline:

Action	Source	Description	Date
Final	Statutory	Statutory requirement for issuers to conduct separate shareholder advisory votes is effective January 21, 2011.

Timetable:

Action	Date	FR Cite
NPRM	10/28/2010	75 FR 66622
NPRM Comment Period End	11/18/2010
Next Action Undetermined	To Be Determined

Regulatory Flexibility Analysis Required: Yes	Government Levels Affected: Undetermined
Small Entities Affected: Businesses	Federalism: Undetermined
Included in the Regulatory Plan: No
RIN Information URL: www.sec.gov/rules/proposed/2010/34-63123.pdf
RIN Data Printed in the FR: Yes
Agency Contact: Jacob Krawitz Branch Chief, Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-4673 Email: krawitzk@sec.gov