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15 May 2015, 2:00 am by Keith Paul Bishop
Yesterday, Broc Romanek wrote about a lawsuit filed earlier this week against the Securities and Exchange Commission due to its failure to respond to a petition asking the Commission to adopt political spending disclosure requirements. [read post]
4 Feb 2014, 6:01 am by Keith Paul Bishop
 As Broc Romanek reported in his Proxy Season Blog, a Seattle based group by the name of Investor Voice SPC is submitting shareholder proposals advocating a simple majority vote rule. [read post]
29 Jun 2016, 1:00 am by Keith Paul Bishop
As reported by Broc Romanek yesterday, the Securities and Exchange Commission adopted (again) a resource extraction rule. [read post]
6 Sep 2017, 1:00 am by Keith Paul Bishop
As Broc Romanek noted yesterday, President Donald Trump has nominated Columbia Law School Professor Robert J. [read post]
25 Jan 2013, 5:13 am by Doug Cornelius
by Broc Romanek in the CLS Blue Sky Blog Over the past fifteen years, the SEC’s reputation has been routinely sullied – in the press, by the Courts and certainly in the halls of Congress. [read post]
17 Aug 2011, 3:10 pm by Steve Bainbridge
As Broc Romanek reports (with links), the PCAOB has issued a concept release inviting public comment on a proposal to enhance auditor independence by requiring that audit firms rotate off an audit engagement after a set number of years. [read post]
25 Jul 2018, 12:59 pm by Robert B. Lamm
  As my estimable friend Broc Romanek noted in a recent posting, over the past dozen years, the SEC has brought an average of one such case per year. [read post]
26 Dec 2007, 11:54 pm
By Broc Romanek and Dave Lynn Recently, the SEC released its 2007 Performance and Accountability Report, as well as its 2007 Selected SEC and Market Data. [read post]
4 Jun 2015, 2:00 am by Keith Paul Bishop
As noted by Broc Romanek, The Wall Street Journal yesterday announced: The Securities and Exchange Commission will soon propose long-awaited rules forcing companies to claw back, or revoke, some of their top officials’ incentive pay if they have to restate the financial results that led to it, according to people familiar with the agency’s internal deliberations. [read post]
23 Oct 2013, 2:00 am by Keith Paul Bishop
Earlier this week, Broc Romanek highlighted a recent panegyric on SEC independence given by SEC Chairwoman Mary Jo White. [read post]
22 Jun 2015, 2:00 am by Keith Paul Bishop
Last Friday, Broc Romanek posted about the problem of expressing and determining time in contracts. [read post]
7 Oct 2016, 1:00 am by Keith Paul Bishop
Broc Romanek reported yesterday that the staff of the Securities and Exchange Commission will no longer require “Tandy Letter” disclaimers in responses to staff comments. [read post]
13 Feb 2015, 2:00 am by Keith Paul Bishop
Yesterday, Broc Romanek wrote about the joint dissent issued by Commissioners Daniel M. [read post]
17 Jan 2017, 1:00 am by Keith Paul Bishop
Last week, Broc Romanek’s Mentor Blog addressed the question of what to do about outstanding stock certificates following a reverse stock split. [read post]
2 Jan 2019, 3:48 am by Broc Romanek
When Liz, John & I finally got together in-person for the first time a few months ago, we enjoyed each other so much that we spontaneously began to sway to the beat (the “beat” being Montell Jordan’s “This Is How We Do It“) in this 8-second video: – Broc Romanek [read post]
20 Jan 2015, 2:00 am by Keith Paul Bishop
Yesterday, Broc Romanek posted on SEC Chair Mary Jo White’s Friday surprise with respect the no-action letter request submitted by Whole Foods Market, Inc. [read post]
29 Dec 2014, 2:00 am by Keith Paul Bishop
 As explained in this post by Broc Romanek, Whole Foods was able to obtain that staff’s concurrence in excluding Mr. [read post]
14 Feb 2017, 1:00 am by Keith Paul Bishop
Last week in The Mentor Blog, Broc Romanek mentioned a blog posting of mine from September 2015: Was This Director Duly Elected Or Appointed? [read post]