Section: September 21, 2023 | Vol. 28, Issue 34
At a September 21 meeting, the SEC’s Investor Advisory Committee discussed the consequences of disclosure-exempt private offerings using Regulation D Rule 506 and a change to its human capital management disclosure proposal.
by: Emmanuel Tamrat and Rosemary Lally
9/21/2023
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The SEC’s Small Business Capital Formation Advisory Committee met September 19 to discuss how to get more capital to smaller venture capitalists and emerging fund managers who support companies that seek smaller, early stage financing and are more likely to invest in diverse founders.
by: Rosemary Lally
9/21/2023
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U.S. Asset Owner Members voted to amend CII’s corporate governance policies to further promote the ability of shareowners to make informed decisions on when to recall loaned shares.
by: James Crowe
9/21/2023
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A diverse panel of experts discussed the business transformations that generative artificial intelligence (AI) is driving during a plenary session moderated by Peter Reali, managing director of responsible investing for Nuveen.
by: Rosemary Lally
9/21/2023
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A panel of experts moderated by Aeshia Mastagni, portfolio manager for CalSTRS, provided takeaways from Silicon Valley Bank’s (SVB) cataclysmic bankruptcy in March.
by: Rosemary Lally
9/21/2023
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The CIOs of two of the largest state pension funds in the nation shared their views on the current financial environment with moderator Jeff Mahoney, CII’s general counsel.
by: Rosemary Lally
9/21/2023
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What constitutes an effective board of directors was the focus of a panel moderated by Theresa Molloy, vice president of corporate governance at Prudential Financial.
by: Rosemary Lally
9/21/2023
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Merline Saintil, co-founder of Black Women on Boards, executive producer of the recently released film “OnBoard” and a lead independent director at space exploration company Rocket Lab, shared her journey to empower Black women with Catherine Winner, global head of stewardship for Goldman Sachs Asset Management.
by: Rosemary Lally
9/21/2023
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The effects that the anti-ESG backlash is having on shareholder advocacy was the focus of a Shareholder Advocacy Committee Plenary session moderated by UFCW Senior Analyst and Committee Co-Chair Aaron Brenner.
by: Rosemary Lally
9/21/2023
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Lionel Johnson, president of the Pacific Pension & Investment Institute, offered insights into the current geopolitical landscape in a conversation with Allyson Tucker, CEO of the Washington State Investment Board.
by: Rosemary Lally
9/21/2023
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10 CII members shared their organization’s plans for the 2024 proxy season during the “Lightning Round.”
by: Rosemary Lally
9/21/2023
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The SEC September 20 adopted amendments to the Investment Company Act’s “Names Rule” to help ensure that the labels on funds accurately portray how the capital in those funds is being invested.
by: Rosemary Lally
9/21/2023
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