Proxy Resource Center

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Educational Resources

The financial industry is working with regulators and issuers to empower individual investors to make educated and informed votes via proxy. Proxy - what is proxy? 

Below are links to resources and information that can help you learn more about process in general.

  • U.S. Securities and Exchange Commission (SEC) 
    The SEC’s Spotlight on Proxy Matters provides investors with general information on the logistics of the voting process and why it is important. The site also offers additional support to shareholders through their Office of Investor Education and Advocacy.
  • Broadridge Financial Solutions, Inc. 
    This educational website is provided by Broadridge Financial Solutions, the largest processor of beneficial proxies for publicly traded companies in the U.S. It has an entire section dedicated to proxy mechanics.

SIFMA Resources 

  • Curious to learn more about the nitty-gritty behind the proxy process? Check out SIFMA’s comprehensive issue page on the proxy process, including coverage of the U.S. Securities and Exchange Commission’s Notice and Access Rule.



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Industry Basics

How is the U.S. Financial Industry Regulated?

The financial regulatory system has federal, state, and private institutions. Generally, federal regulators deal with national issues and state regulators operate in their jurisdictions.  


Industry Glossary

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Understand the industry.


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