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...

Stock Splits Are Back In Fashion: Three Cheers, We Say

We are huge fans of stock splits (forward splits, that is) for a lot of reasons. We realized that we last wrote about them ten years ago, when there was a sudden upsurge, much like we are seeing now – like at Nvidia (10 for 1) Walmart (3 for 1) and Chipotle with a...

Highlights From The Society And SSA Annual Conferences

2012, 2012 Q2, Abandoned Property, Issues

You may have noticed that this issue of the OPTIMIZER is way late, as our 2nd Quarter issue usually is – so we can report a few highlights of the industry’s two best conferences…

“Buy And Hold” Investing Dying, Or Maybe Dead? Let’s Check With The Grandkids

2012, Abandoned Property, Issues

So What Can We Learn Here About The “Buy And Hold Model”?

The Death Of Retail Investing: Should You Care?

2012, 2012 Q3, Abandoned Property, Issues

In our second quarter issue we noted the growing number of retail investors who believe our securities markets are being run for the sole benefit of short-term traders and speculators—and who have, as a consequence, been exiting the stock markets in droves.

Keane Takes The Lead In Helping Companies Navigate The Delaware Voluntary Disclosure Agreement

2012, 2012 Supplement, Abandoned Property, Compliance & Ethics, Issues

A new voluntary Disclosure Agreement (VDA) initiative established by Delaware Governor Jack Markell has been a hot topic for companies with unclaimed property reporting obligations to the state of Delaware.

Updates On The State Of Abandoned Property With Fresh Information On ‘The Protectors Becoming Predators’

2012, 2012 Supplement, Abandoned Property, Compliance & Ethics, Issues

From Bob Irvine: President, and Jennfer Borden: Executive Vice President/General Counsel of UPRR

Wells Fargo Shareowner Services

2012, 2012 Supplement, Interviews, Issues, Transfer Agents

Interviews With Two Long-Term Clients Of Wells Fargo Shareowner Services

Drips Alive, And Mostly Well Despite Rumors Of The Death Of Retail Investing…

2012, 2012 Supplement, Dividend Reinvestment Plans, Interviews, Issues

An interview with Chuck Carlson, Editor of the DRIP Investor magazine

Really Reaching Out To Individual Investors…

2012, 2012 Supplement, Interviews, Investor Relations, Issues

The Game Really Is Worth The Candle, As Our Panel Of Expert Practitioners And Innovators Will Prove

Verbatim Global Compliance…The “Single Source Of Truth” For Information About Your Corporate Subsidiaries

2012, 2012 Supplement, Entity & Subsidiary Management, Interviews, Issues, Technology

An Interview With Seth McNary, Verbatim’s CEO

Risk mitigation is a hot topic these days…

2012, 2012 Supplement, Issues, Technology

Interview With Ellen Philip And Cal Donly Of Ellen Philip Associates

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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.