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SEC RIN: 3235-AM50 Publication ID: Spring 2020 
Title: Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice  
Abstract:

The Division is considering recommending that the Commission adopt rule amendments to address certain advisors’ reliance on the proxy solicitation exemptions in Rule 14a-2(b). 

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78a et seq.   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/04/2019  84 FR 66518   
NPRM Comment Period End  02/03/2020 
Final Action  10/00/2020 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Dan Greenspan
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3623
Email: greenspand@sec.gov