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.

  • 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
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