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Bank of America Corporation Rule 14a -8 no-action letter - sec

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The document is a correspondence from the U.S. Securities and Exchange Commission (SEC) regarding shareholder proposals submitted to Bank of America Corporation. It discusses the proposals related to the company's internal controls over mortgage servicing, loan modifications, and foreclosure practices amid widespread scrutiny due to irregularities in these areas. The SEC's response indicates that one proposal cannot be excluded under Rule 14a-8(i)(7) as it raises significant social policy issues, while another proposal may be excluded as it duplicates an earlier submission. The document highlights the complexities of managing mortgage operations and the ongoing efforts by Bank of America to address concerns raised by shareholders and regulators.

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Are no action letters withdrawn from SEC marketing rule?

In the adopting release for the new Marketing Rule, the SEC stated that it would be withdrawing various No Action Letters (NALs) superseded by the new rule. In October, the Commission finally issued Information Update 2020-10 formally withdrawing those NALs. In total, 203 NALs are being either withdrawn or modified.

Are SEC comment letters public?

Remember that comments become publicComments become part of the public domain once submitted and resolved. Comments and the related responses are posted to the SECs website no earlier than 20 days after the review is completed or the registration statement is declared effective.

What is the 14a 11 Rule?

On August 25, 2010, the SEC adopted Rule 14a-11, mandating proxy access at all public companies. Any shareholder or shareholder group that held more than 3% of a public companys shares for more than 3 years would be eligible to nominate candidates for up to 25% of the companys board seats (the Rule 14a-11 Formula).

Where can I find no action letters?

No-action letters are available in the following sources: Federal Securities Law Reporter. SEC website - Division of Corporation Finance No-Action, Interpretive and Exemptive Letters. Lexis. Westlaw.

What is SEC 14a?

SEC Form DEF 14A, also called a definitive proxy statement, is intended to furnish security holders with adequate information to be able to vote confidently at an upcoming shareholders meeting. Form DEF 14A is most commonly used with an annual meeting proxy and filed in advance of a companys annual meeting.

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What is a SEC no-action letter?

A no-action letter is a letter written by the staff members of a government agency, requested by an entity subject to regulation by that agency, indicating that the staff will not recommend that the agency take legal action against the entity, should the entity engage in a course of action proposed by the entity

What is Section 14 A 8 of the Securities Act?

Rule 14a-8 of the Securities Exchange Act of 1934 provides a framework allowing a public company shareholder to request that a proposal be included in the companys proxy statement, to be voted upon at a companys shareholder meeting.

What is Sec Rule 14a 8i?

What is the rule 14a-8 no action letter?

Since 1947, no-action letters under Securities and Exchange Commission (SEC) Rule 14a-8 have allowed SEC staff members to regulate shareholder voice upon managements request, acting as intermediaries between shareholders and management on matters related to shareholder proposals.

How do you find SEC no action letters?

You can find a compilation of Staff No Action, Interpretive, and Exemptive Letters from the Divisions of Corporation Finance, Investment Management, and Trading and Markets, and the Office of the Chief Accountant in the Staff Interpretations section of our website.

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