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18 May 2016, 2:51 am by Broc Romanek
SEC Enforcement Chief Gives Update on Private Equity In this blog, Steve Quinlivan covers this speech by Andrew Ceresney, Director of the SEC’s Division of Enforcement, about the SEC’s private equity enforcement initiative… – Broc Romanek [read post]
18 May 2015, 3:00 am by Broc Romanek
Randi & Me Randi Morrison is in town for the Society’s annual meeting with the Corp Fin Staff and we had a little sight-seeing fun last night: – Broc Romanek [read post]
6 May 2014, 4:27 am by Broc Romanek
- MD&A Case Addresses Whether an Uncertainty Is “Known” - Advances in Technology May Impact Segment Reporting - Shareholder Proposals: Case Involving Statement in Opposition - An Interview with Vanguard on Shareholder Engagement & More - Shareholder Proposals: WCN Wins “Proposal by Proxy” Appeals Case - Update: District Court Denies Motion for Reconsideration in MD&A Case - Broc Romanek [read post]
26 Jun 2014, 2:57 am by Broc Romanek
Freeman was a lawyer who co-drafted Rule 10b-5 and Tommy Corcoran was the chief spokesman for the drafters of the ’34 Act who is credited with testifying that Section 16 was a “crude rule of thumb”… - Broc Romanek [read post]
9 Feb 2015, 4:01 am by Broc Romanek
Don’t forget to sign up on Mike’s blog to get future entries pushed to you… – Broc Romanek [read post]