- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A coalition of 17 business groups is asking the SEC to reinstate its practice of giving guidance about shareholder proposals that conflict with other proposals sponsored by management—and hinted that the agency’s new policy of silence on the subject may violate the law. The complaint is the latest salvo in ...
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Image: Companies preparing for proxy season face a profound change in how the SEC views the exclusion of shareholder proposals. New guidance on that point is decidedly pro-shareholder and makes a confusing landscape even more so. “This was an early Christmas gift, wrapped up in a bow” for activist investors, ...
When the SEC sends a formal inquiry into your company’s operations, you know you have a problem to be handled in strict ways. So what about when the SEC delivers an “informal” request—and all those speeches and opinions, for that matter, that can sound an awful lot like formal guidance ...
A U.S. Appeals Court overturned a Securities and Exchange Commission rule that had required companies listed on the Nasdaq stock exchange to disclose whether their boards had women or minority members–and if not, why not.
