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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]
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]
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]
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]
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]
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]
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]
22 Feb 2019, 3:12 am by Broc Romanek
Hang Out With Good People (Online) – Broc Romanek [read post]
7 Mar 2016, 3:51 am by Broc Romanek
” This blog by “The Activist Investor” entitled “Shareholder Enragement Redux” throws shade at the idea of investors sitting down with Jamie Dimon and Warren Buffett to write best practices for corporate governance to support long-term ownership… – Broc Romanek [read post]