Recent SEC Action Regarding the Proxy Process

Presenters:

Tiffany Smith WilmerHale, Partner

Erica Green Vanguard, Senior Counsel, Head of Disclosure and Governance

Lillian Brown WilmerHale, Partner

Stephen Brown KPMG Board Leadership Center, Senior Advisor

Program Level: Intermediate

Duration: 60 minutes

Recorded On: January 14, 2020

Program Description

This program covers the recent Securities and Exchange (SEC) action related to the proxy process. In August of 2019, the SEC issued an interpretation related to the proxy voting process. In December of 2019, the SEC issued two proposed rulemakings: one codifying certain of the August 2019 interpretation and proposing additional amendments to the proxy voting process; and a second proposing changes to the shareholder proposal process.

Learning Objectives
At the end of this session/webinar, participants will be able to:
  • Understand the current process voting process and the relevant players in this process;
  • Understand the recent SEC interpretations and proposed rules related to the proxy process; and
  • Understand the potential industry implications of the proposed changes to the proxy process.
CLE Info

This program is currently available for 1.0 general credit in the following states:

Alabama
Alaska
Arizona
Arkansas
California
Connecticut
Georgia
Hawaii*
Illinois
Minnesota
Mississippi
Missouri
Nevada
New Hampshire
New Jersey*
New Mexico
New York
North Carolina
North Dakota
Oklahoma
Oregon
Pennsylvania
Tennessee
Texas
Vermont
West Virginia
Wisconsin

In addition, we have applied for credit in the following states, and will promptly update the list above as the program is approved in each such state:

Colorado
Indiana
Ohio
Washington

*In Hawaii and New Jersey, we rely on their reciprocity policies pursuant to which our programs are deemed accredited once they are approved in the various reciprocity states where we apply such as California, Illinois, New York, Pennsylvania and Texas.

For information on attendance reporting, please refer to the CLE Info page.

Presenters:

Tiffany Smith
Partner, WilmerHale

Erica Green
Senior Counsel, Head of Disclosure and Governance, Vanguard

Lillian Brown
Partner, WilmerHale

Stephen Brown
Senior Advisor, KPMG Board Leadership Center

Program Level: Intermediate

Duration: 60 minutes

Recorded On: January 14, 2020