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The Securities Edge Securities Blog for Middle-Market Companies

Monthly Archives: November 2016

Bob Lamm receives Lifetime Achievement award for his dedication to governance

Posted in Announcements

Congratulations to our esteemed colleague, Bob Lamm, for winning this prestigious award! While we all know that Bob is the guru in the governance space, it’s great that he was recognized for all of his achievements (to date!). Well deserved! WEST PALM BEACH, Fla. (Nov. 29, 2016) – Gunster, one of Florida’s oldest and largest… Continue Reading

SEC Staff’s Thanksgiving Gift: No Turkey

Posted in Bob's Upticks, Disclosure Guidance, SEC

As noted in a recent post, the future of SEC regulation – and perhaps even of the SEC itself – is uncertain in the wake of Donald Trump’s election.  However, the SEC Staff, a smart, decent and hardworking group, continues to stick to its knitting despite the turmoil. The most recent example of the Staff’s… Continue Reading

A modest proposal about more modest proposals

Posted in Bob's Upticks, Corporate Governance, investor empowerment, SEC, Shareholder proposals

It remains to be seen whether the new administration will actually drain the swamp or do away with political correctness, but one hope that some of us have – regardless of our views on the election – is that the SEC may finally get around to some issues that have been on the back burner… Continue Reading

The SEC’s brave new (Trump) world

Posted in Bob's Upticks, Corporate Governance, investor empowerment, SEC, Shareholder proposals

In the wake of the election of Donald Trump as the next President, there has been a lot of speculation about the effect of a Trump administration on securities law and corporate governance.  Looking into a crystal ball is always risky, but here are some observations. Conflict Minerals:  It’s too soon to tell whether Dodd-Frank… Continue Reading

CEO/Chair separation — the more things change…

Posted in Bob's Upticks, Corporate Governance, investor empowerment

The morning after a surprising election outcome seems as good a time as any to bear in mind the old saw that the more things change the more they stay the same. And so it goes with corporate governance trends.  Lost in the piles of paper and ink (real and virtual) expended on the Wells… Continue Reading

The SEC Keeps On Keeping On

Posted in Disclosure Guidance, SEC

In the midst of the chaos of the presidential election, vicious attacks from Senator Warren, and goodness knows what else, the SEC continues to crank out requests for comment, rules and interpretations. It’s the latter category that has attracted our attention lately, as the Staff has focused on some technical matters that securities counsel have… Continue Reading