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11 Apr 2019, 3:57 am
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]
4 Nov 2011, 2:00 am
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]
6 Jan 2010, 4:09 am
" - Broc Romanek [read post]
22 Feb 2019, 3:12 am
Hang Out With Good People (Online) – Broc Romanek [read post]
11 May 2012, 4:08 am
- Broc Romanek [read post]
11 Aug 2017, 3:03 am
In this blog, Steve Quinlivan reviews the type of ICOs that have been conducted so far… Speaking of algorithms, this memo discusses how management & boards should be analyzing algorithmic risks… – Broc Romanek [read post]
18 Mar 2014, 4:51 am
John is included in this 1-minute video explaining who "shareholder proponents" are: - Broc Romanek [read post]
1 Jul 2013, 4:49 am
- Broc Romanek [read post]
13 Jan 2014, 3:28 am
Here are some of the latest entries: - Survey: Audit Committee Disclosures - Shareholder Proposal: Open Competition for Board's Voting Recommendations - Walgreens Argues Proxy Access Shareholder Proposal Should be Excluded - Shareholder Proposals: This Fall - 20% Stake in Glass Lewis Sold to Institutional Investment Manager - by Broc Romanek [read post]
28 Jul 2014, 3:52 am
In the first example below, note that Oracle/Micros has a covenant that the seller has undertaken commercially reasonable efforts to eliminate conflict minerals from its supply chain: - Oracle/Micros (covenant in Section 5.23) - Allergan/MAP Pharmaceuticals (see Section 3.29) - Valeant/OBAGI Medical (see Section 4.5) - Met-Pro/CECO Environmental (see Section 4.7(e)) - Citrix Systems/Bytemobile (see Section 2.32) - Salix Pharmaceuticals/Santarus (see Section 5.26) - Broc Romanek [read post]
21 Mar 2013, 4:45 am
At this time, our company intends to deal with registered shareholders by: - Including both "vote with" and "vote against" management buttons - 3% - Not including either "vote with" and "vote against" management buttons - 33% - Including just the "vote with" button (but not the "vote against" button) - 0% - Doing whatever our transfer agent (or whomever handles our registered holders) tells us - 40% - Not sure at this time - 24% - Broc Romanek [read post]
16 Aug 2017, 3:03 am
” – Broc Romanek [read post]
25 Aug 2015, 4:20 am
Here’s a list of the 9 panels for the “Pay Ratio Workshop” (& the agendas for all three events): – “Overview: The Final Rules” – “Getting Ready for Compliance: Sampling & Other Data Issues” – “Streamlining Your Compliance Efforts” – “Board Presentations: What To Tell Boards Now” – “Disclosure: Handling the Transition Period” – “Parsing Model Disclosures: US-Only… [read post]
2 Nov 2015, 4:18 am
– Broc Romanek [read post]
2 Sep 2014, 4:06 am
- Broc Romanek [read post]
1 Feb 2010, 4:14 am
Below is an anonymous survey about whether your company has taken action to adopt this bifurcated record date format: Online Surveys & Market Research - Broc Romanek [read post]
1 Mar 2010, 5:27 am
Samples Available - More on "Shareholder Proposals: Chevedden Sued Over Eligibility" - Determining Who is "Most Highly Compensated": More Complicated Than You Think - Broc Romanek [read post]
6 Aug 2010, 4:31 am
- SEC Loses Insider Trading Case - But Wins War on Swap Jurisdiction - More on "Drafting Standing Delegations of Authority from the Board: Factors to Consider" - Broc Romanek [read post]
1 Mar 2011, 3:42 am
- Broc Romanek [read post]
1 Mar 2017, 3:45 am
– Broc Romanek – still employed (but the day is young)… [read post]
