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SEC RIN: 3235-AK67 Publication ID: Fall 2022 
Title: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting on Executive Compensation Votes by Institutional Investment Managers 
Abstract:

The Division is considering recommending that the Commission adopt rule amendments to implement section 951 of the Dodd-Frank Act and to enhance the information reported on Form N-PX. 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: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
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 
Second NPRM  10/15/2021  86 FR 57478   
Final Action  04/00/2023 
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:
Nathan Schurr
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6394
Email: schuurna@sec.gov