2014 February

Dramatic Risk Factors: We Face Competition (Vol. 1)

Posted in Entertainment By Broc Romanek On February 21, 2014

In their SEC filings, companies are permitted to warn investors with “risk factors.” Many are boilerplate & silly. The following — “We Face Competition”

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Personal Use of Corporate Jets: The Crack Cocaine of CEOs

Posted in News By Broc Romanek On February 21, 2014

Brief description of why personal use of corporate planes is so popular among CEOs – and why it is so controversial…

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The SEC’s Disclaimer

Posted in Educational By Broc Romanek On February 21, 2014

Have you ever wondered why the SEC Staff gives a disclaimer for its speeches & presentations? There’s actually a law…

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Annual Shareholder Meetings: Far-Flung Locations? Why?

Posted in News By Broc Romanek On February 21, 2014

Companies have discretion to set the locations of annual shareholder meetings. Why do some pick far-flung locales?

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Bylaws Battle: Dissident Director Compensation

Posted in News By Broc Romanek On February 20, 2014

Should investors be allowed to compensate directors? Should companies be allowed to adopt bylaws that prohibit investors from paying directors?

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Thanks for the Gumball Mickey – Bass Berry, Nashville

Posted in Entertainment By Broc Romanek On February 20, 2014

The fine lawyers at Bass Berry & Sims in Nashville pay homage to the old Hasbro TV commercial…

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Shareholder Activists: How They Have Become Mainstream

Posted in News By Broc Romanek On February 20, 2014

Is “shareholder activism” still a dirty word? The SEC Chair says ‘no’…

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Do’s & Don’ts of Public Speaking

Posted in Educational By Broc Romanek On February 20, 2014

Tips on how to become a better public speaker – and wow your audience…

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Is ‘The Wolf of Wall Street’ Real? My Own Stratton Oakmont Story

Posted in Entertainment By Broc Romanek On February 20, 2014

Broc tells a story about Stratton Oakmont from when he worked for the SEC

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What Should the Board Do? AOL’s Distressed Babies Snafu

Posted in News By Broc Romanek On February 20, 2014

What are the major issues that the AOL board might confront in handling CEO Armstrong’s comments about “distressed babies”?

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Broadridge’s Interim Vote Tally Policies

Posted in News By Broc Romanek On February 20, 2014

Analysis of recent changes in Broadridge’s policies on providing early voting results for shareholder meetings, including an explanation of Broadridge’s role

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