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Schapiro: SEC’s Role in Corporate Governance
October 20, 2010
In a recent address before the NACD Annual Corporate Governance Conference, SEC Chairman, Mary L. Schapiro set out her thoughts on the role of the SEC in regulating corporate governance. Schpiro prefaced her remarks by recognizing that the role of directors has become increasingly complicated,… read more
SEC Enforcement Unit Focuses on Funds
September 27, 2010
During his testimony last week before the Senate Judiciary Committee, SEC Enforcement Division chief, Robert Khuzami, stated that his division's recently created an Asset Management Unit had its eyes on disclosure, performance, and valuation by funds and their advisers. Our Asset Management Unit, focused on mutual… read more
SEC Adopts Final Rules on Proxy Access
August 26, 2010
At yesterday's open meeting, the SEC adopted changes to the federal proxy and other rules to facilitate the rights of shareholders to nominate directors to a company's board. The changes to the federal "proxy access" rules are intended to facilitate the ability of shareholders to exercise… read more
SEC Issues Concept Release on US Proxy System
July 22, 2010
At its July 14, 2010 open meeting, the SEC approved the issuance of a concept release seeking public comment on the US proxy system and asking whether rule revisions should be considered to promote greater efficiency and transparency. The concept release is organized under three… read more
Chairman Schapiro’s Address Before the Stanford Directors’ College
June 24, 2010
On June 20, 2010, SEC Chairman Mary L. Schapiro addressed the Sixteenth Annual Directors' College at Stanford Law School, an executive education program for directors and senior executives of publicly traded firms. Schapiro's remarks described three main areas where the SEC is focusing… read more