To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation
- SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor Verification Methods
- FINRA to Conduct Targeted Examinations Regarding Order Routing and Execution Quality of Customer Orders in Exchange-Listed Stocks
- SEC Settles Civil FCPA Action Against Two Former Oil Services Executives
- New York Jury Acquits Former Hedge Fund Manager of Insider Trading Conspiracy
New York
