Chamber of Commerce of the United States of America et al v. Securities and Exchange Commission et al
| Chamber of Commerce of the United States of America, Business Roundtable and Tennessee Chamber of Commerce & Industry |
| Securities and Exchange Commission and Gary Gensler |
| 3:2022cv00561 |
| July 28, 2022 |
| US District Court for the Middle District of Tennessee |
| Aleta A Trauger |
| Other Statutes: Administrative Procedures Act/Review or Appeal of Agency Decision |
| 05 U.S.C. § 551 Administrative Procedure Act |
| None |
Docket Report
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Filing 35
DECLARATION of Michael A. Cottone In Support of Plaintiffs' Motion for Summary Judgment filed by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry re: #32 MOTION for Summary Judgment . (Attachments: #1 Exhibit Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice, #2 Exhibit Exemptions from the Proxy Rules for Proxy Voting Advice, #3 Exhibit Trends and Updates from the 2022 Proxy Season, #4 Exhibit Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals under Exchange Act Rule 14a-8, #5 Exhibit Comment on Proposed Proxy Voting Advice Amendments, #6 Exhibit Does Proxy Advice Allow Funds to Cast Informed Votes?, #7 Exhibit The Delaware Way: How Do We Do Corporate Law and Some of the New Challenges We (and Europe) Face, #8 Exhibit Proxy Advisors are Still a Problem, #9 Exhibit Outsourcing Corporate Governance: Conflicts of Interest Within the Proxy Advisory Industry, #10 Exhibit NAM Manufacturer's 2018 Fourth Quarter Outlook Survey, #11 Exhibit Opening Statement at the SEC Open Meeting (7/14/10), #12 Exhibit Commission Interpretation and Guidance, #13 Exhibit Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers, #14 Exhibit Statement on Compliance with the Commission's2019 Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice, #15 Exhibit Comment Letter of John A. Zecca, #16 Exhibit Statement by Gary Gensler, #17 Exhibit Proxy Voting Advice, #18 Exhibit Hester M. Peirce Dissenting Statement on Proxy Voting Advice Proposal, #19 Exhibit Comment Letter of Tom Quaadman, #20 Exhibit Comment Letter of Chris Iacovella, #21 Exhibit AR-66, Proxy Voting Advice, #22 Exhibit SEC Press Release 5/9/22, #23 Exhibit Memo Regarding 12/17/21 Meeting with NAM, #24 Exhibit Memo Regarding 12/20/21 Discussion with NAM, #25 Exhibit Memo Regarding 1/13/22 Discussion with MFA, #26 Exhibit Clinton Administration's EO No. 12866, #27 Exhibit Bush Administration's EO No. 13258, #28 Exhibit Obama Administration's EO No. 13563, #29 Exhibit Biden Administration's Memo Modernizing Regulatory Review, #30 Exhibit ACUS Recommendation No. 2011-2, #31 Exhibit House Hearing on 2023 SEC and FTC Budget Request, #32 Exhibit T. Uyeda Dissenting Statement on Proxy Voting Advice, #33 Exhibit Hester M. Peirce Comments on Proxy Voting Advice, #34 Exhibit Comment Letter of Tao Li, #35 Exhibit Comment Letter of Neil A. Hanson, #36 Exhibit Comment Letter of J.W. Verret, #37 Exhibit Comment Letter of Maria Ghazal, #38 Exhibit Comment Letter of Stephen C. Taylor, #39 Exhibit Comment Letter of Michelle Nellenbach, #40 Exhibit The Broker-Dealer Standard of Conduct, #41 Exhibit Gary Gensler Webinar Remarks, #42 Exhibit Comments on Proposed Rule Release No. 34-87457, #43 Exhibit FAQs Regarding ISS Proxy Research, #44 Exhibit Memo from Sirimal R. Mukerjee, #45 Exhibit 2/1/22 Email from Tom Quaadman to SEC, #46 Exhibit 2/18/22 Email from Mark Tallarico to Daryl Joseffer, #47 Exhibit 8/3/22 Email from Adrienne Santos to Jordan Von Bokern, #48 Exhibit Comments on Proposed Rule Release No. 34-93595, #49 Exhibit The Realities of Robo-Voting, #50 Exhibit Concept Release on the U.S. Proxy System, #51 Exhibit Universal Proxy 86 Fed. Reg. 68,330, #52 Exhibit Comment Letter of Maria Ghazal 2/3/20)(Cottone, Michael)
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Filing 34
STATEMENT of facts filed by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry in support of #32 Motion for Summary Judgment. (Davidson, Paul)
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Filing 33
MEMORANDUM in Support of #32 MOTION for Summary Judgment filed by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry . (Davidson, Paul)
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Filing 32
MOTION for Summary Judgment by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Davidson, Paul)
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TN State Bar status verified as active for Stephanie Kelly not admitted to this court - Local counsel secured. (kc) Modified on 9/23/2022 (kc).
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Filing 31
MOTION for attorney Stephanie Kelly to Appear Pro Hac Vice (Fee not paid-due within 21 days) by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Attachments: #1 Attachment Certificate - U.S. District Court for the District of Columbia)(Davidson, Paul)
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NY State Bar status verified as active for Leslie Arffa not admitted to this court - Local counsel secured. (kc)
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Filing 30
MOTION for attorney Leslie Arffa to Appear Pro Hac Vice (Fee not paid-due within 21 days) by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Attachments: #1 Attachment Certificate of Good Standing - Federal)(Davidson, Paul)
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Filing 29
CERTIFICATE Conformed Certificate of Service Regarding Certified Index of Administrative Record filed by Gary Gensler, Securities and Exchange Commission re #26 Notice (Other) filed by Securities and Exchange Commission, Gary Gensler. (Matro, Daniel)
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NOTICE TO FILER re DE#26 : Pursuant to Local Rule 5.01, Certificates of Service shall identify by name the person served, what was served, the method of service, and date of service. Counsel did not include all Counsel on the certificate of service. Please FILE a conformed Certificate of Service for this document. (kc)
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Filing 28
INITIAL CASE MANAGEMENT ORDER: Amended Pleadings due by 9/9/2022. Dispositive Motions due by 9/23/2022. Signed by District Judge Aleta A. Trauger on 9/9/2022. (DOCKET TEXT SUMMARY ONLY-ATTORNEYS MUST OPEN THE PDF AND READ THE ORDER.)(kc)
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Filing 27
ORDER granting #24 Joint Motion to cancel Initial Case Management Order. Signed by District Judge Aleta A. Trauger on 9/9/2022. (DOCKET TEXT SUMMARY ONLY-ATTORNEYS MUST OPEN THE PDF AND READ THE ORDER.)(kc)
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Filing 26
NOTICE of Filing by Gary Gensler, Securities and Exchange Commission Certified Index of Administrative Record (Matro, Daniel)
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Filing 25
PROPOSED CASE MANAGEMENT ORDER (Initial) filed by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Davidson, Paul)
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Filing 24
Joint MOTION re #4 Notice of Case Management Conference Joint Motion To Cancel Initial Case Management Conference and Enter Proposed Initial Case Management Order by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Davidson, Paul)
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Filing 23
ORDER granting #21 : Having satisfied the requirements of Local Rule 83.01(b), the Motion for Daniel Matro to Appear Pro Hac Vice is granted. Signed by Lynda Hill, Clerk of Court, on 08/18/2022. (lh)
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Filing 22
RECEIPT #34675066825 in the amount of $450.00 posted by Business Roundtable, Chamber of Commerce of the United States of America, and Tennessee Chamber of Commerce & Industry re #14 Motion to Appear Pro Hac Vice Tyler Badgley, #13 Motion to Appear Pro Hac Vice Daryl Joseffer, and #15 Motion to Appear Pro Hac Vice Elizabeth Dougherty. (kc)
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Filing 21
MOTION for attorney Daniel Matro to Appear Pro Hac Vice (Fee waived) by Gary Gensler, Securities and Exchange Commission. (kc)
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Filing 20
ORDER granting #13 , #14 , and #15 : Having satisfied the requirements of Local Rule 83.01(b), the Motions for Daryl Joseffer, Tyler Badgley, and Elizabeth Dougherty to Appear Pro Hac Vice are granted. Signed by Lynda Hill, Clerk of Court, on 08/15/2022. (lh)
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DC State Bar status verified as active for Daniel Matro not admitted to this court - Local counsel waived. (kc)
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Filing 19
SUMMONS Returned Executed as to Mark H. Wildasin, U.S. Attorney for the Middle District of Tennessee on 08/02/2022 by Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry, Business Roundtable. All Defendants. (Attachments: #1 Attachment Wildasin - U.S. Mail Green card return on service)(Davidson, Paul)
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Filing 18
SUMMONS Returned Executed as to Merrick Garland, U.S. Attorney General on 08/01/2022 by Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry, Business Roundtable. All Defendants. (Attachments: #1 Attachment U.S. Mail Green card return on service)(Davidson, Paul)
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Filing 17
SUMMONS returned executed by Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry, Business Roundtable. Gary Gensler served on 8/1/2022. (Attachments: #1 Attachment Gensler - U.S. Mail Green card return on service)(Davidson, Paul)
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Filing 16
SUMMONS returned executed by Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry, Business Roundtable. Securities and Exchange Commission served on 8/1/2022. (Attachments: #1 Attachment U.S. Mail Green card return on service)(Boston, Robert)
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Filing 15
MOTION for attorney Elizabeth Dougherty to Appear Pro Hac Vice (Fee not paid-due within 21 days) by Business Roundtable. (Attachments: #1 Attachment D.C. Bar - Certificate of Good Standing, #2 Attachment USDC ED VA - Certificate of Good Standing)(Davidson, Paul)
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Filing 14
MOTION for attorney Tyler Badgley to Appear Pro Hac Vice (Fee not paid-due within 21 days) by Chamber of Commerce of the United States of America. (Attachments: #1 Attachment D.C. Certificate of Good Standing, #2 Attachment CA5 - Certificate of Good Standing)(Davidson, Paul)
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Filing 13
MOTION for attorney Daryl Joseffer to Appear Pro Hac Vice (Fee not paid-due within 21 days) by Chamber of Commerce of the United States of America. (Attachments: #1 Attachment Joseffer - DC Bar Certificate of Good Standing, #2 Attachment Joseffer - USDC for D.C. - Certificate of Good Standing)(Davidson, Paul)
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Filing 12
ORDER granting #6 , #7 , and #8 : Having satisfied the requirements of Local Rule 83.01(b), the Motions for Elizabeth A. Rose, Matthew A. Schwartz, and Jeffrey B. Wall to Appear Pro Hac Vice are granted. Signed by Lynda Hill, Clerk of Court, on 08/02/2022. (lh)
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District of Columbia Bar status verified as active for Jeffrey B. Wall; New York Bar status verified for Elizabeth A. Rose; and New York Bar status verified for Matthew A. Schwartz not admitted to this court - Local counsel secured. (lh)
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Filing 11
BUSINESS ENTITY DISCLOSURE STATEMENT filed by Chamber of Commerce of the United States of America. (Davidson, Paul)
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Filing 10
BUSINESS ENTITY DISCLOSURE STATEMENT filed by Tennessee Chamber of Commerce & Industry. (Davidson, Paul)
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Filing 9
BUSINESS ENTITY DISCLOSURE STATEMENT filed by Business Roundtable. (Davidson, Paul)
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Filing 8
MOTION for attorney Jeffrey B. Wall to Appear Pro Hac Vice (paid $150 PHV fee; receipt number ATNMDC-3636916) by Business Roundtable, Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Attachments: #1 Attachment Wall - Certificate of Good Standing - Federal, #2 Attachment Wall - Certificate of Good Standing - State)(Davidson, Paul)
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Filing 7
MOTION for attorney Matthew A. Schwartz to Appear Pro Hac Vice (paid $150 PHV fee; receipt number ATNMDC-3636908) by Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Attachments: #1 Attachment Schwartz -Certificate of Good Standing - Federal, #2 Attachment Schwartz - Certificate of Good Standing - State)(Davidson, Paul)
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Filing 6
MOTION for attorney Elizabeth A. Rose to Appear Pro Hac Vice (paid $150 PHV fee; receipt number ATNMDC-3636894) by Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry. (Attachments: #1 Attachment Certificate of Good Standing - Federal, #2 Attachment Certificate of Good Standing - State)(Davidson, Paul)
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Filing 5
Summons issued as to Gary Gensler, Securities and Exchange Commission. (Service packet at intake window (Hours M-F 8:00 - 4:00) for counsel to pick up. (kc)
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Filing 4
NOTICE of Initial Case Management Conference is set for 9/26/2022 at 2:00 PM in Chambers - Suite 6325 before District Judge Aleta A. Trauger. (kc)
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Filing 3
NOTICE/INFORMATION regarding Consent of the Parties to the Magistrate Judge. (kc)
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Filing 2
NOTICE of Business Entity Disclosure Statement filing requirement. (kc)
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Filing 1
COMPLAINT against Gary Gensler and Securities and Exchange Commission (Filing fee $402, Receipt number ATNMDC-3636476), filed by Chamber of Commerce of the United States of America, Tennessee Chamber of Commerce & Industry, and Business Roundtable. (Attachments: #1 Attachment - Civil Cover Sheet)(kc)
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TN State Bar status verified as active for Paul Savage Davidson and Michael A. Cottone admitted to this court. (kc)
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State Bar status verified as active for Daryl Joseffer (DC), Liz Dougherty (DC), Jeffrey B. Wall (DC), Elizabeth A. Rose (DC), Matthew A. Schwartz (NY), Tyler S. Badgley (DC) not admitted to this court - Local counsel secured. (kc)
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NOTICE TO COUNSEL Daryl Joseffer, Liz Dougherty, Jeffrey B. Wall, Elizabeth A. Rose, Matthew A. Schwartz, Tyler S. Badgley: WITHIN 21 DAYS, counsel shall file a Motion to Appear Pro Hac Vice, a Certificate of Good Standing signed by the Clerk of a United States District Court or a U. S. appellate court where admitted, and pay a fee of $150.00 (LR 83.01(b)). PHV due by 8/18/2022. (kc)
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