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Public Company Control Alert: NYSE Acts to Further Limit Broker Votes on Specified Corporate Governance Proposals
On January 25, 2012, the New York Stock Exchange issued an Information Memo to its member organizations stating that effective immediately, brokers may not vote on corporate governance proposal...
Publ.Date : Fri, 27 Jan 2012 19:01:43 -0500

Further Relief on Section 6045B Reporting
As previously reported in the January 9th blog article, today is the last day to file Form 8937 to report 2011 corporate actions that affect stock basis, as required under...
Publ.Date : Tue, 17 Jan 2012 13:03:35 -0500

SEC Changes Policy on Admitting Guilt in Settlements of Enforcement Actions
On January 6, 2012, the Securities and Exchange Commission (“SEC”) announced that it has modified its settlement policy for enforcement actions that also involve a criminal conviction or admissions by a defendant of criminal violations. Under its new policy, the traditional “neither admit no...
Publ.Date : Wed, 11 Jan 2012 13:11:22 -0500

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