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News & Resources: Kate Parker

Kate is an authority on SEC regulations, and how they affect our clients and our service offerings.

  • Flash Reports
  • 21 Aug, 2023
  • Kate Parker

Investment Company Names

On May 25, 2022, the SEC proposed amendments to address certain categories of investment company names that are likely to mislead investors about an investment company’s investments and risks.

  • Flash Reports
  • 31 Jul, 2023
  • Kate Parker

Form N-PX Amendments: What You Need to Know

the SEC adopted amendments to Form N-PX filings to make proxy voting disclosures more useful and informative for investors. This high-level overview of the changes, including who it affects, timing, and best practices, might be helpful as you prepare for the effective date.

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