Posts from Mark Weitz
Minnesota to Examine Investment Advisers
Investment Advisers Last week, the Minnesota Department of Commerce announced that it was instituting an examination program for investment advisers. In doing so, Minnesota removes itself from a tiny group of states – the others are New York and Wyoming – that have no investment adviser examinations. The significance of this is that IAs with between $25 […] Read more →
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... 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 →