A Few ‘Quick And Easy Fixes’ For The “New SEC”
FOR STARTERS, LET’S RID OURSELVES OF THAT FALSE DICHOTOMY – AND THE TOTALLY STUPID DEBATE ABOUT ‘RULES-BASED’ VS. ‘PRINCIPLES–BASED’ REGULATION: While principles are great – and we should all have ‘em – we all need RULES for the really important stuff. The fact is...
Let’s Work Together To Fix The SEC: In This Issue: It Can And Must Be Fixed, We Say…
Just a few short months ago, we met with a fairly large group of very senior public-company people…and one of the top worries that surfaced was the kind of pressure there’d be for quick regulatory ‘fixes’…with all the disruption, extra work - and all the unforeseeable...
Here Are A Few Rules And Regulations That Issuers Of Securities Would Actually Like To See From The SEC… All Of Them Very Simple Fixes, We Say:
TOTALLY ELIMINATE NAKED SHORT SELLING: We still can’t figure why smart people haven’t been able to understand exactly how naked short sales cheat investors – and how they can and do create cascades of sales to spook legitimate investors into panic selling – so the...
Big, Big Doings In The World Of Industry Suppliers
IN THE PROXY WORLD: D.F. King & Co., Inc., – which some industry experts consider to be the biggest U.S. proxy solicitation firm, based on gross revenues
Cost-Basis Accounting And Reporting For Stocks, Bonds, Mutual Funds…
And Reorg Transactions Is Widely Expected To Become Mandatory Stop This Train We Say, Or Put It On A Better Track… Before It’s Too Late, And Before Issuers Go Broke Trying To Comply
We Are Looking For Fundamental Changes To The Corporate Governance Playing Field. We Want Much Greater Accountability On The Part Of Directors. And We Want To Be Seated As Adults At The Dinner Table.
An Interview with Richard C. Ferlauto, Director Corporate Governance and Pension Investment, American Federation of State, County and Municipal Employees, AFL-CIO
Difficult Times Call For Drastic Measures
An Interview with Eric van Aalst and Kevin Penzien of CITCO
We Want To Get Bigger By Being Better. We’re Not Believers In The Idea That You Can Somehow Get Better Simply By Getting Bigger.
An Interview with Todd May, of Wells Fargo Shareowner Services
Computershare – Committed To Service Excellence
An interview with Jay McHale, President, US Equity Services, Computershare
Accubasis… A “Just-In-Time Solution” To A Looming And Rather Scary New Business Requirement For Publicly Traded Companies… And Their Agents…
An interview with Lori Trezza, V.P. Product Management at DTCC
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.