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Timestamp: 2019-10-20 16:28:28
Document Index: 668261195

Matched Legal Cases: ['§ 240', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240']

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Where the Firm has the delegated responsibility or the authority to vote its clients’ securities, the Firm’s fiduciary obligation to its clients obligates it to vote in a manner that is in the client’s best interests and to properly address potential conflicts of interest that may arise therefrom. ...
10 FR 1429 - Amendment to Proxy Statement
The Securities and Exchange Commission, acting pursuant to authority conferred upon it by the Securities Exchange Act of 1934, particularly sections 14(a) and 23(a) thereof, and deeming such action necessary and appropriate in the public interest and for the protection of investors and necessary ...
12 FR 6786 - Solicitations of Proxies
Notice is hereby given that the Securities and Exchange Commission has under consideration proposals for the revision of the proxy rules, § 240.14 (Regulation X-14), under section 14(a) of the Securities Exchange Act of 1934. A preliminary draft of the proposed revision is attached hereto.The ...
12 FR 8768 - Solicitations of Proxies
The Securities and Exchange Commission has heretofore duly published in the Federal Register notice of a proposed revision of § 240.14 (Regulation X-14) under the Securities Exchange Act of 1934. After due consideration of all relevant matters presented in regard to the proposed revision, the ...
Handling of Proxies by BDs
12 USC 2269 - Further penalties
Any director or officer, or former director or officer of a System institution, or any other person, against whom there is outstanding and effective any notice or order (which is an order which has become final) served upon such director, officer, or other person under section 2264 or 2265 of this ...
12 USC 2279a - Power to merge
The banks within a district may merge into a single entity (hereinafter in this subchapter referred to as a “merged bank”) if the plan of merger is approved by- (1) the Farm Credit Administration Board; (2) the respective boards of directors of the banks involved; (3) a majority of the stockholders ...
12 USC 2279f-1 - Merger of similar associations
(a) In general Associations may voluntarily merge with other like associations if the plan of merger is approved by- (1) the Farm Credit Administration Board; (2) the respective Boards of Directors of the associations involved; (3) a majority vote of the stockholders of each association voting, in ...
13 FR 3973 - Solicitation of Proxies
Notice is hereby given that the Securities and Exchange Commission has under consideration proposals for the amendment of § 240.14 (Regulation X-14) under section 14(a) of the Securities Exchange Act of 1934, as follows. SEC 48-6235.pdf 13 FR 3973; 48-6235.pdf Wednesday, J u ly 14, 1948 FEDERAL ...
17 FR 11431 - Solicitation of Proxies
On January 31, 1952, the Commission announced that it had under consideration certain proposed amendments to its proxy rules under the Securities Exchange Act of 1934 and invited all interested persons to submit data, views and comments with respect to the proposed amendments. The Commission has ...
17 FR 1153 - Solicitations of Proxies
Notice is hereby given that the Securities and Exchange Commission has underconderation the following proposals for the amenmend of its proxy rules under the Securities Exchange Act of 1934 SEC 52-1456.pdf 34-4668 17 FR 1153 Forwarding of Proxies 52-1456.pdf Wednesday, February 6, 1952 FEDERAL ...
18 FR 6646 - Solicitation of Proxies
Notice is hereby given that the Securities and Exchange Commission has under consideration amendments to its proxy rules under the Securities Exchange Act of 1934. The proposed amendments are in the main limited to § 240.14a-8 (Rule X-14A-8) which relates to proposals which stockholders may request ...
19 FR 246 - Solicitation of Proxies
On October 9, 1953, the Commission announced (in Securities Exchange Act Release No. 4950) that it had under consideration proposed amendments to its proxy rules under the Securities Exchange Act of 1934, and invited all interested persons to submit views and comments in writing with respect to the ...
2. The Proxy Voting Committee
A. Composition In addition to the Head of Trading, or his or her delegate, the Proxy Voting Committee shall include a representative of Operations, Legal, Compliance, one or more portfolio managers and such additional individuals as the Head of Trading shall determine would be useful to the ...
20 FR 3233 - Solicitations of Proxies
Notice is hereby given that the Securities and Exchange Commission has under consideration adoption of a proposed § 240.14b-1 (Rule X-14B-1) with regard to the circumstances under which certain members, brokers or dealers may give proxies, consents, or authorizations in respect of a security ...
20 FR 6357 - Solicitation of Proxies
Notice is hereby given that the Securities and Exchange Commission has under consideration certain proposed amendments to Regulation X-14 under the Securities Exchange Act of 1934. The principal purpose of the proposed amendments is to clarify the applicability of the regulation to proxy contests. ...
2014-02 Unbundling of Proxy Proposals—Investment Company Charter Amendments
The Division has received inquiries from registrants with respect to amendments to investment company charters in light of the requirements of Rule 14a-4 under the Securities Exchange Act of 1934. As a result, and in an effort to encourage consistent application of the rule, the staff is providing ...
21 FR 2636 - Solicitation of Proxies
On May 5, 1955 the Securities and Exchange Commission published a proposal to adopt § 240.14b-1 (Rule X-14B-1) under the Securities Exchange Act of 1934, particularly sections 14 and 23(a) thereof, to set out the conditions under which certain members, brokers or dealers could give proxies, ...
21 FR 577 - Amendments to Proxy Rules
The Securities and Exchange Commission has adopted certain amendments to its proxy rules contained in Regulation X-14 under the Securities Exchange Act of 1934. Notice of the proposed amendments and an invitation to submit comments and suggestions thereon were published on August 23, 1955. ...
25 FR 1865 - Revised Proxy Rules for Investment Companies
The Securities and Exchange Commission announced today that it has adopted certain additional rules relating to the solicitation of proxies, consents or authorizations with respect to investment companies registered under the Investment Company Act of 1940. Notice of the proposed action was ...
25 FR 252 - Revised Proxy Rules for Investment Companies
Section 20(a) of the Investment Company Act of 1940 makes it unlawful to solicit any proxy, consent or authorization in respect of any security of which any registered investment company is the issuer in contravention of such rules and regulations as the Commission may prescribe. The only rule ...
26 FR 3810 - Filing of Amended or Revised Proxy Material
The Securities and Exchange Commission has amended § 240.14a-6 (Rule 14a-6) under the Securities Exchange Act of 1934 which relates to the filing of proxy statements, forms of proxy and other soliciting material. The amendment provides that where amended proxy material is filed with the Commission ...
28 FR 12829 - Proxy Statements
Notice is hereby given that the Securities and Exchange Commission has under consideration certain proposed amendments to § 240.14a-3 (Rule 14a-3 under the Securities Exchange Act of 1934). This rule specifies the information to be furnished to security holders in connection with the solicitation ...
29 FR 13461 - Extensions of Time for Registration; Temporary Exemption from Proxy Rules
The Securities and Exchange Commission announces the adoption of a new Rule 12g-1 (§ 240.12g-1) which extends the time within which certain issuers must comply with the new registration requirements of section 12(g) of the Securities Exchange Act of 1934. The rule also grants a temporary exemption ...
29 FR 14857 - Registration of Securities, Proxy Rules
Notice is hereby given that the Securities and Exchange Commission has under consideration a proposed amendment of its Rule 14a-3 (17 CFR 240.14a-3) and Form 8-A (listed and described in 17 CFR 249.208a) under the Securities Exchange Act of 1934. Form 8-A is an optional short form which may be used ...