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Dear Moody’s Corp: Type this fast 3 times
UNDER the U.S. Securities and Exchange Commission’s controversial notice-and-access (N&A) process for the delivery of annual meeting materials, companies can mail their shareholders a slip of paper containing a URL where recipients can access their proxy materials online.
Moody’s Corporation (NYSE:MCO) is one company that is in the process of sending such a notice to its [...]
SEC should focus on access in “notice & access”
AFTER a long delay, the U.S. Securities and Exchange Commission has finally proposed tweaks to its failed “notice and access” process for delivering shareholder meeting materials on the web.
The model, which essentially transfers the decision to receive materials electronically or in print from shareowners to companies, has resulted in a dramatic drop in the number [...]
The SEC's requirements for online annual reports and proxy statements
SINCE a few people have asked recently about the U.S. Securities and Exchange Commission’s (SEC) requirements for online annual reports and proxy statements, I thought I’d put them in this post for future reference.
Although many aspects of the so-called e-Proxy rules are not being done well, I think the most overlooked aspect is the requirement [...]
Huge social network for US shareholders planned
BROADRIDGE Financial Solutions Inc. (NYSE: BR), the giant investor communications and brokerage outsourcing firm, plans to connect every US company and every shareholder in a massive social network that could rival Facebook in terms of members.
CEO Rich Daly said his company’s investor network will be unique in that it will validate members as real shareholders [...]
SEC survey a reality check on retail investor web use
A SURVEY published by the US Securities and Exchange Commission (SEC) has found that retail investors rely heavily on financial advisors for their investment decisions and rarely use the SEC’s website or blogs for investment information.
The survey found that while 51% of investors said their financial advisors or brokers were their “main source” of information, [...]
SEC's new guidance for websites imminent
THE US Securities and Exchange Commission (SEC) is slated to consider publishing long-awaited new guidance governing how companies can use their websites to communicate with investors.
According to a notice, the commission will meet Wednesday to consider publishing the “interpretive release” that is expected to address a number of important issues that could set precedents for [...]
US firms love e-proxy savings, but at what cost?
DESPITE the risk that they might be reaping short-term gains while laying the foundation for long-term pain, 566 US companies used notice-only e-proxy mailings for their shareholder meetings by the end of April.
According to figures compiled by Broadridge Financial Solutions Inc., companies have saved about $132 million through lower print and mailing costs.
Unfortunately, that has [...]
Are Broadridge's servers slow for you too?
I’VE HELD off bringing this up before because I feel bad for the folks at Broadridge Financial Solutions. They’ve been getting it in the neck recently over this whole e-proxy debacle.
Even the Colgate-Palmolive Company called them out this week in a letter to the company’s shareholders, though I think there may be more to that [...]
Great online annual reports of 2008 — Part 1
IT’S still early in the season, but online annual reports and proxy statements are now flowing onto the Web at a rapid rate.
We’ve been monitoring daily developments, especially in the US where large companies must for the first time comply with new requirements for usable online documents — although they clearly have noooo ideeaa what [...]
With e-proxy, SEC signals it gets the Web
THE US Securities and Exchange Commission (SEC) today voted to let companies move to default Internet delivery of annual shareholder documents.
Stressing that investors can still ask for free paper documents under its voluntary “e-proxy” process, commissioners voted 5-0 to allow companies to ditch bulk mailings of proxy materials and move to a “notice and access” [...]
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