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CFR › Title 17 › Chapter II › Part 275 › Section 275.206(4)-6

17 CFR 275.206(4)-6 - Proxy voting.

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§ 275.206(4)-6 Proxy voting.
If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b-3), it is a fraudulent, deceptive, or manipulative act, practice or course of business within the meaning of section 206(4) of the Act (15 U.S.C. 80b-6(4)), for you to exercise voting authority with respect to client securities, unless you:
(a) Adopt and implement written policies and procedures that are reasonably designed to ensure that you vote client securities in the best interest of clients, which procedures must include how you address material conflicts that may arise between your interests and those of your clients;
(b) Disclose to clients how they may obtain information from you about how you voted with respect to their securities; and
(c) Describe to clients your proxy voting policies and procedures and, upon request, furnish a copy of the policies and procedures to the requesting client.
[68 FR 6593, Feb. 7, 2003]

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2012-12-31; vol. 77 # 250 - Monday, December 31, 2012
    1. 77 FR 76854 - Temporary Rule Regarding Principal Trades With Certain Advisory Clients
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      The amendments in this document are effective December 28, 2012 and the expiration date for 17 CFR 275.206(3)-3T is extended to December 31, 2014.
      17 CFR Part 275

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
USC : Title 15 - COMMERCE AND TRADE

15 USC § 80b–2 - Definitions

15 USC § 80b–3 - Registration of investment advisers

15 USC § 80b–4 - Reports by investment advisers

15 USC § 80b–4a - Prevention of misuse of nonpublic information

15 USC § 80b–6 - Prohibited transactions by investment advisers

15 USC § 80b–6a - Exemptions

15 USC § 80b–11 - Rules, regulations, and orders of Commission

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 275 after this date.

  • 2012-12-31; vol. 77 # 250 - Monday, December 31, 2012
    1. 77 FR 76854 - Temporary Rule Regarding Principal Trades With Certain Advisory Clients
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      The amendments in this document are effective December 28, 2012 and the expiration date for 17 CFR 275.206(3)-3T is extended to December 31, 2014.
      17 CFR Part 275