The Investor as Owner Subcommittee of the SEC’s Investor Advisory Committee (SEC-IAC) established pursuant to Section 911 of the Dodd-Frank Act issued a report on Impartiality in the Disclosure of Preliminary Voting Results. The recommendations will be discussed at a meeting on October 9, 2014. When: Thursday, October 9, 10:00 am – 4:00 pm Who: Investor […]
Tag Archives | brokers
Switch to TDAmeritrade and Contribute to Corporate Governance (CorpGov.net) at No Cost to You
James McRitchie, 03/08/2013 ,
TDAmeritrade is running a promotional where they pay current customers $50 to refer new customers. I feel like a high school kid knocking on doors selling candy so that I can go on a class trip to Washington but it really does take money to keep up this website and to report on various corporate […]
Wayback Machine
James McRitchie, 06/26/2012 ,
It has been months, maybe years, since we’ve slipped into the “wayback machine.” Here we go. Let’s have some fun. (more…)
Brokers Free to Tweet
James McRitchie, 12/30/2011 ,
The Financial Industry Regulatory Authority Inc. (FINRA) has backed away from a proposal that would have required broker-dealers to file social-media postings with the regulator. In an update to a package of proposed communications rules filed with the Securities and (more…)
Obtaining a Broker Letter & Short-termism
James McRitchie, 09/01/2011 ,
Usually obtaining a broker letter, evidencing ownership, to submit with a shareowner proposal is easy but sometimes it isn’t. I’d love to hear of difficulties you have experienced. Send me your story by email and maybe I’ll post it. Here’s my latest experience with TD Ameritrade. I must say, up until now they have been […]