Tag Archives | brokers

Take Action: SEC-IAC Report on Impartiality Stops Short

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 […]

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Brokers Free to Tweet

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…)

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Obtaining a Broker Letter & Short-termism

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 […]

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