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20 Nov 2009, 4:05 am
It will be interesting to see if AFSCME will continue to be so active regarding shareholder issues without Rich - and it will also be interesting to see Rich wearing short-sleeve shirts and smoking from a corn cob pipe... - Broc Romanek [read post]
8 Dec 2009, 7:48 am by Michelle Leder
Footnoted friend Broc Romanek attended yesterday's arguments in person and has some quick thoughts here. [read post]
9 Jul 2018, 3:54 am by Broc Romanek
This article notes that six state treasurers recently wrote a letter to the SEC Chair requesting that a move to mandatory arbitration not be done… – Broc Romanek [read post]
30 Aug 2011, 8:11 am by William McGrath
Second, Broc Romanek of Blog has a post which discusses the Whistleblower Improvement Act of 2011, which will require whistleblowers to report matters to his or her employer before reporting to the SEC.As noted in Mr. [read post]
17 Jun 2011, 2:00 am by Kara OBrien
In this post, Kevin LaCroix covers the background and decision and also provides a nice analysis of why the court chose this case and what the ramifications will be. 5) ON Securities: The Say-on-Pay World According to Broc – In a case of blogger covering blogger, in this post Marty Rosenbaum discusses a recent presentation by TheCorporateCounsel’s Broc Romanek on the “post-proxy season wrap-up. [read post]
30 Jul 2012, 4:24 am by Broc Romanek
- SEC's Novel Insider Trading Case: No Penalties If No Profit or Loss Avoidance - Conflict Minerals: House Holds Hearing on Costs and Consequences - FINRA's New COBRADesk Goes Live on June 4th: Existing Filings Don't Migrate - California to Vote on Corporate Political Contributions Ban - Broc Romanek [read post]
4 Nov 2011, 2:00 am by Keith Paul Bishop
At lunch yesterday, I remarked to Broc Romanek that it has been a long time since a California Commissioner of Corporations headed NASAA. [read post]
20 May 2011, 8:47 am by Kara OBrien
 In reality, the Home Depot proposal may show that they really can’t. 5) TheCorporateCounsel: The SEC’s Whistleblower Office Does Not Want to Talk to You – In this post, Broc Romanek discusses an interesting Forbes’ expose into the SEC’s new whistleblower office which apparently has no phone number to take actual tips. [read post]
11 Apr 2019, 3:57 am by Broc Romanek
Starts to make up for all the missed vacations over the years to my dear wife… SEC IDs: Old School Style Just found my SEC ID from my 1st tour of duty at the SEC back in the late ’80s: – Broc Romanek [read post]
22 Feb 2019, 3:12 am by Broc Romanek
Hang Out With Good People (Online) – Broc Romanek [read post]
21 Feb 2014, 8:30 am by Doug Cornelius
Take Two Video: “The SEC’s Disclaimer” by Broc Romanek in The Corporate Did you know that the disclaimer that SEC Staffers give when they speak is actually required by law? [read post]