Articles | Optimizer Online

SEC ISSUES NEW TRANSFER AGENT RULES FOR COMMENT – THE FIRST SUBSTANTIAL REVISITATION AND RELEASE SINCE THE 1980s

After briefly mentioning the many changes we’ve seen in technologies – and in the securities processing space in general since the ‘80s … and in what may be the understatement of the century: “the Commission concludes that there is a disconnect between the transfer...

READER ALERT! CAN A SINGLE PERSON CONSTITUTE A “COMMISSION”? – AND DECLARE A QUORUM OF ONE?

“Here’s what Jim McRitchie has done” – and what we’d urge all of you to follow up on: “Because the SEC didn’t open a comment period, I filed a petition for rulemaking under Rule 192 of the SEC’s Rules of Practice, asking the Commission to rescind the amendment, or at...

HAS THE SEC BECOME TOTALLY UNTETHERED FROM THE REAL WORLD?

HERE ARE THREE MORE GRIM SIGNS THEY ARE… FORGING AHEAD TO REPEAL PROXY RULES WITH OVER 90 PERCENT OF THE PUBLIC COMMENTS OPPOSED – and literally hundreds of examples from investors, and from public companies of every stripe, as to how important sensible proxy...

Ellen Philip and Associates Turn Their Widely Attended Holiday Party Into “A Party with A Purpose”

We were deeply saddened to learn that Cal Donly - the life-and-business partner of Ellen Philip, who survives him - passed away on October 18th. Everyone who was anyone in the Shareholder Servicing world over the past 60 years knows Cal and Ellen - two of the finest,...

More News from the 2017 Meeting Front: The Best & Worst

2017, 2017 Q2, Annual Meetings, Best & Worst Practices, Corporate Governance, Financial Printing, Investor Relations, Issues

BofA’S DONATIONS TO SPECIAL OLYMPICS PRODUCED BIG NEW-VOTER TURNOUT: In our last issue we singled out Bank of America’s proxy package for special mention as “required viewing.” With most of the ‘big season’ now behind us, it remains the best and most effective set of...

The Hottest Proxy Issues in 2018

2017, 2017 Supplement, Activist Investors, Corporate Governance, Issues, Proxy

Q&A with Bruce H. Goldfard, President & CEO of Okapi Partners

Unclaimed Property: One of the Hottest Issues for Issuers of Securities in 2018

2017, 2017 Supplement, Abandoned Property, Issues

An Interview with John Buonomo, Senior Vice President, Issuer Services at AST

Hot Issues for 2018 Proxy Season Preparation

2017, 2017 Supplement, Activist Investors, Annual Meetings, Interviews, Issues, Proxy

Ron Schneider, Director of Corporate Governance Services, Donnelley Financial Solutions

Ways to “Optimize” Your Retail Shareholder Base

2017, 2017 Supplement, Annual Meetings, Interviews, Investor Relations, Issues, Retirement & Stock Plan Administrators, Shareholder Services

Margaret (Peggy) Foran, Chief Governance Officer, Senior Vice President and Corporate Secretary of Prudential Financial, Inc.

Striving To Deliver Greater Convenience and Control

2017, 2017 Supplement, Annual Meetings, Document Design & Delivery, Interviews, Issues, Proxy, Shareholder Services, Transfer Agents, Virtual Meetings

An Interview with John Dunn, Vice President, U.S. Corporate Issuer Sales at Broadridge.

A Pre-Proxy Season Q&A With Broadridge

2016, 2016 Supplement, Issues, Proxy

With annual meetings being top of mind for many companies at this time of the year, the Optimizer sat down with John Dunn, Vice President, US Corporate Issuer Sales at Broadridge to get his perspective and learn what is new at the company.

OUR TOP TIPS ON CHOOSING A PROXY SOLICITOR

2016, 2016 Q3, Issues, Proxy

It’s been a long time since we last shared our top tips on choosing a proxy solicitation/proxy advisory firm…And wow…the industry has changed a lot since then…not least in terms of the specific “talent” that each firm has on board, as noted above…which, please note well, is the number-one thing that proxy firms have to offer.

Executive Compensation Going Forward

2016, 2016 Supplement, Executive Compensation & Search, Issues

By Jeremy L. Goldstein, Jeremy L. Goldstein & Associates, LLC

The Board-Centric Annual Meeting

2016, 2016 Supplement, Annual Meetings, Issues

Rasing The Bar For Board Communication

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Podcast Alert: Annual Meeting Season 2026 — Expert Advice from Carl & Peder Hagberg

Carl and Peder Hagberg of The Shareholder Service OPTIMIZER join Meredith Ervine from TheCorporateCounsel.net to discuss proxy season risks, virtual meetings, and shareholder engagement for 2026.

Listen to hear their insights on this year’s annual meeting season.