Tag Archives | Registered Investment Advisor

RIA Hands Untied

RIA Hands Untied by SEC No-Action Denial

RIA hands untied by Newground Social Investments team and the SEC’s refusal to grant a no-action letter to Baker Hughes (BHI, $BHI) on February 22, 2016. Congratulations to Bruce Herbert and staff at Newground, as well as to their advisors. We have discussed the importance of not counting abstentions before at Simple Majority Vote Counting Initiative for […]

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