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Mercer Bullard
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- Oxford, MS
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Mercer Bullard's Blog
Pay to Play Proposal
One of SEC Chairman Schapiro's bolder pro-investor moves has been to resurrect former Chairman Levitt's 1999 proposal to prohibit investment advisers from using campaign contributions to win contracts to manage public money. The impetus for this re-proposal was the recent pay-to-play scandal in New York. (See a related SEC complaint)
For background on the issues, see the… Continue
For background on the issues, see the… Continue
Posted on September 15, 2009 at 5:19pm —
Fiduciary: To Be or Not To Be
The movement to subject all investment professionals who provide retail investment advice to a fiduciary standard received some welcome attention yesterday in the WSJ. Jane Kim's article (subscription req'd) does an excellent job covering the issues in a short piece. The article shows that the brokerage industry has capitulated to extending a fiduciary standard to brokers who provide investment advice and highl… Continue
Posted on August 30, 2009 at 10:12am — 1 Comment
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I hope you will also consider sending a comment to the SEC supporting our petition to prevent blank votes by retail shareowners from automatically turning into votes for management. See http://www.corpgov.net/news/news.html#BlankVotes.