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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

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… Continue

Posted on August 30, 2009 at 10:12am — 1 Comment

Comment Wall (3 comments)

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At 5:33pm on June 4, 2011, James McRitchie said…: Mercer -

I'm working with a group through the United States Proxy Exchange that is fed up with the increasing proportion of corporate profit going to top execs. We are also concerned with the "Lake Woebegone" effect in that every board thinks their CEO is above average. Since all CEOs are above average every year, the average keeps rising.

I would very much appreciate your feedback on draft guidelines we have posted at http://proxyexchange.org/2011/05/request-for-comments-say-on-pay/

If you post your comments in the "Leave a Reply" box we will consider them next week when we meet near Boston. Thanks.

At 11:42pm on October 9, 2010, James McRitchie said…: Mercer - - We're still working on the blank vote issue. If you get a chance, I would certainly appreciate any comments you might have on http://www.shareowners.org/forum/topics/blank-votes Thanks. -- Jim

PS - I hope you continue on the SECIAC... lots of unfinished business there. Keep up the good work.

At 11:13pm on September 14, 2009, James McRitchie said…: Mercer, good to see you participating here and on the new SEC advisory committee. Hopefully, efforts like shareowners.org, VoterMedia.org, Investor Suffrage Movement TransparentDemocracy, & Proxy Democracy, will help retail shareowners and beneficial owners get involved. Please spread the word.

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.