Charles A. Sweet

SEC Proposes Rule Regarding Prohibition against Conflicts Of Interest in Certain Securitizations
Edmond Seferi,Charles A. Sweet,Robert C. Wipperman, October 3, 2011
The Securities and Exchange Commission (the “SEC”) has proposed a new rule (the “Proposing Release”) under the Securities Act of 1933, as amended (the “Securities Act”), prohibiting material conflicts of interest in asset-backed securitizations, as required by...

SEC Will Permit “Proxy Access” Shareholder Proposals
Laurie A. Cerveny,Chris Cox,Janice A. Liu,Michael P. O'Brien,David K. Robbins,Charles A. Sweet, September 27, 2011
An amendment to SEC Rule 14a-8 that will enable shareholders of U.S. public companies (including investment companies) to submit proposals calling for some form of “proxy access” — that is, a procedure permitting shareholders to include alternative nominees for director in the...

SEC Issues Advance Notice of Proposed Rulemaking on Treatment of Asset-Backed Issuers Under Rule 3a-7 and Section 3(c)(5) of the Investment Company Act
Charles A. Sweet,Robert C. Wipperman, September 21, 2011
The U.S. Securities and Exchange Commission (the "Commission") has issued an advance notice of proposed rulemaking (the "ANPR") regarding the treatment of asset-backed issuers under the Investment Company Act of 1940, as amended (the "Investment Company Act"). The ANPR...