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9 Jul 2018, 3:54 am
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]
21 Jun 2018, 3:06 am
Nothing earth-shattering as it essentially recaps what Chair Clayton has been saying since he took office… – Broc Romanek [read post]
20 Jun 2018, 3:27 am
Meanwhile, two editorial pieces – this one by the financial editor of the Times and this one by a senior editor at Bloomberg – has suggested that the Big 4 might need to be broken up… – Broc Romanek [read post]
19 Jun 2018, 2:09 am
May-June Issue of “The Corporate Executive” We recently mailed the May-June issue of “The Corporate Executive” – and it includes articles on: – Court Decisions Breathe New Life into Lawsuits over Directors’ Compensation—And What You Need to Do about It – Understanding the New Qualified Equity Grant Deferrals – Elon Musk’s Mega Grant – Rule 701 Disclosure Threshold Finally Increased – Broc Romanek [read post]
18 Jun 2018, 3:00 am
Here are my three main blogs on the securities law aspects of this topic: – A Delicate Disclosure Issue: Steve Jobs’ Health – More on Steve Jobs & Disclosure of Health Issues – A Recap of Thoughts on Apple & Illness Disclosures – Broc Romanek [read post]
8 Jun 2018, 2:51 am
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7 Jun 2018, 3:52 am
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6 Jun 2018, 2:58 am
”… – Broc Romanek [read post]
5 Jun 2018, 12:46 am
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4 Jun 2018, 2:20 am
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14 May 2018, 2:43 am
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7 May 2018, 3:12 am
” The Hub currently contains 300 different documents or other resources organized by the four thematically related areas for disclosure… Speaking of databases, the SEC recently launched “SALI” (“SEC Action Lookup for Individuals”) so that anyone can research whether the person trying to sell them investments has a judgment or order entered against them in an enforcement action… – Broc Romanek [read post]
4 May 2018, 3:33 am
This is something I tweeted when the SEC proposed its new broker regulation about providing investment advice – and nice to see Matt Levine link to my tweet in his Bloomberg article… – Broc Romanek [read post]
3 May 2018, 2:58 am
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2 May 2018, 3:33 am
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27 Apr 2018, 3:49 am
Kudos… – Broc Romanek [read post]
26 Apr 2018, 4:07 am
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18 Apr 2018, 3:54 am
A Picture Says a Thousand Words So this is what John & I feel like giving career advice: Poll: Receiving Career Advice Please take a moment for this anonymous poll: free polls – Broc Romanek [read post]
18 Apr 2018, 3:54 am
A Picture Says a Thousand Words So this is what John & I feel like giving career advice: Poll: Receiving Career Advice Please take a moment for this anonymous poll: free polls – Broc Romanek [read post]
11 Apr 2018, 3:10 am
– Broc Romanek [read post]
