Posts from Mark Weitz
Beware of Twitter
Banking, Broker-Dealer, Public Companies and Securities Companies, like athletes, show business types, and your teenage kids, have been flocking to twitter. Be careful, says Michele N. Anderson, Chief of the Office of Mergers and Acquisitions of the SEC’s Corporation Finance Division. The 140 character limit means there may be no room for required SEC legends, which must accompany certain types of [...] Read more →
SEC Chairman Speaks to NACD — Upcoming Rulemaking; Recent Proxy Rules
Executive Compensation, Public Companies and Securities Yesterday, Mary L. Schapiro, Chairperson of the SEC, addressed the National Association of Corporate Directors. She reviewed several recent SEC proxy rules which pre-date... Read more →
Summary of Corporate Governance Provisions in the Dodd-Frank Act
Public Companies and Securities Set forth below is a summary of the principal corporate governance and corporate finance provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the... Read more →
Say on Pay and Broker Non-Votes
Executive Compensation, Public Companies and Securities The Dodd-Frank Act expands the areas in which brokers are prohibited from voting unless they have received specific client instructions. Section 957 of the Act amends the... Read more →
Representing Compensation Committees — Regular Counsel Need Not Apply?
Executive Compensation, Litigation, Public Companies and Securities The Dodd-Frank Act contains a number of provisions designed to improve the independence and operations of Compensation Committees. But in doing so, has Congress made it more... Read more →
Dodd-Frank and Minnesota Investment Advisers
Private Equity, Public Companies and Securities The Interaction Between Dodd-Frank and Minnesota Regulation of Investment Advisers Before enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the following... Read more →
Dodd-Frank and Seniors — Grants Available for State Agencies
Insurance, Public Companies and Securities The Dodd-Frank Act contains provisions designed to help protect seniors (62 and over) from being victimized by persons who market securities, insurance products, or financial... Read more →