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NIRI Needs Your Help to Defeat the SEC's 13F Proposal
NIRI Needs Your Help to Defeat the SEC's 13F Proposal
Share
NIRI Needs Your Help to Defeat the SEC’s 13F Proposal
July 23, 2020
President and CEO Gary LaBranche and NIRI’s advocacy leaders discuss NIRI’s strategy to oppose the SEC’s ill-advised proposal to gut the Form 13F ownership disclosure rules. They answer questions from members about the SEC’s proposed rule, which would exempt more than 4,500 investment managers (89 percent of current 13F filers) from disclosure. The webinar addresses how NIRI plans to mobilize issuers, IR counselors, NIRI chapters, and other corporate groups to oppose this measure and encourage the SEC to adopt meaningful reforms to increase ownership transparency. NIRI shares
key talking points
and asks issuers and counselors to sign a
joint letter to the SEC
, which also will be shared with key lawmakers.
Speakers:
Gary A. LaBranche, FASAE, CAE,
President and CEO, NIRI
(moderator)
Patrick Davidson
, Senior Vice President, Investor Relations, Oshkosh Corp., and Chair of NIRI’s Advocacy Committee
Dave Dragics
, retired IRO and NIRI Capital Area Advocacy Ambassador
Niels Holch
, Partner, Holch & Erickson (NIRI’s outside lobbyist)
Ted Allen
, Vice President, Communications and Member Engagement, NIRI
Additional Resources:
Joint NIRI National Letter to the SEC That Issuers/Counselors May Sign
Sign on to the NIRI National letter by emailing Ted Allen (
tallen@niri.org
) by August 19
Frequently Asked Questions on the SEC's 13F Proposal
SEC Comment Letter Template for Individual Issuers
SEC Comment Letter Template for NIRI Chapters
Webinar Slides
Vist NIRI's
Advocacy Call to Action
page to find news articles and more details on the SEC's 13F rulemaking
NIRI Executive Alert, “
SEC Proposes to Reduce Equity Ownership Transparency
,” July 13, 2020.
Commissioner Allison Herren Lee, "
Statement on the Proposal to Substantially Reduce 13F Reporting
," June 10, 2020.