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...

BIG Troubles In T-A Land

Five events in late 2023 startled us into realizing that most Transfer Agents seem to be in a big heap of trouble these days: The first and second were the two calls we received - one about bad TA service and one about bad TA behavior – described in detail elsewhere...

Some Special Advice For CFOs – And For Small And Mid-Cap Companies – On “Engaging” Investors, And On The Rules Of Engagement… And On The Important Dos And Don’ts When It Comes To Being Prepared For A Potentially Unfriendly Approach By One Or More Investors…

An interview with Bruce Goldfarb, President & CEO and Patrick McHugh, Senior Managing Director of Okapi Partners

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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.

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