SEC Support

of

New Communication Processes

SEC Rules

Reports

Legal Views

SEC Rules

• January 18, 2008 Securities and Exchange Commission Release No. 34-57172: Electronic Shareholder Forums (35 pages, 723 KB, in PDF format)

Reports

• January 25, 2010 Corporate Secretary: "Intel scraps online-only annual meeting | Investor outcry forces chip giant to rethink plans"

• January 15, 2010 Forum Report: Example of the "Proxy Plumbing" Problem; see also January 17, 2010 Forum Report: Responses to Example of the "Proxy Plumbing" Problem

• December 14, 2009 Forum Report: Survey of Investor Voting Criteria for Compensation Issues

• December 2009 IR Magazine: "Conversation starter"

• November 19, 2009 U.S. Securities and Exchange Commission press release: "SEC Names Senior Officials to Investor Education and Advocacy Efforts"

• November 1, 2009 New York Times: "When Shareholders Crack the Whip"

• July 8, 2009 Forum Report: Defining the New Rules for Shareholder Communication

• May 27, 2009 Broadridge Financial Solutions, Inc., press release: "CalSTRS Turns to Broadridge for Electronic Voting Proxy Services"

• May 24, 2009 New York Times: "Elect a Dissident, and You May Win a Prize"

• April 27, 2009 Wall Street Journal: "Corporate Blogs and 'Tweets' Must Keep SEC in Mind"

• April 9, 2009 Investor Relations Magazine: "Intel to hold virtual get-togethers for shareholders"

• January 14, 2009 Investor Relations Magazine: "Broadridge competitor slashes fees"

• December 5, 2008 Investor Relations Magazine: "Even major investors wary of 'say on pay' legislation | Pros may not outweigh cons, forum participants say"

• August 21, 2008 Investor Relations Magazine: "Broadridge plans shareholder e-forum"

• May 16, 2008 Reuters: "Companies shrug off shareholder e-forum idea"

• April 2008 Corporate Secretary: "The lost art of communication"

• February 15, 2008 Investor Relations Magazine: "Broadridge gets clients to open up about e-proxy experience"; see also reports:

  • April 2008, Broadridge Financial Solutions, Inc.: "Notice and Access: A Statistical Overview of Use with Beneficial Shareholders, as of Feb 29, 2008" (6 pages, 273 KB, in PDF format)

  • February 2008, Broadridge Financial Solutions, Inc.: "A Frank Discussion on Notice & Access" (6 pages, 115 KB, in PDF format)

• February 2008 Investor Relations Magazine: "The hunt is on"

• February 2008, Directors & Boards E-Briefing: "Who Knows Best?"

• January 22, 2008 November 28, 2007 Forum Report: SEC Rules Encouraging Shareholder Forum Programs

• January 15, 2008 Compliance Week: "Shareholder e-Forums: Useful Tool or Pitfall?"

• November 29, 2007 TheCorporateCounsel.net: "SEC Adopts Rules to Facilitate Shareholder E-Forums"

• November 28, 2007 Forum Report:  New SEC Rules for “Electronic Shareholder Forums”

Legal Views

• Katten Muchin Rosenman LLP, January 21, 2010 Q&A: "Communicating with Retail Shareholders: How Much Can an Issuer Say Outside the Proxy Materials?" (4 pages, 135 KB, in PDF format); see also Katten Muchin Rosenman LLP, January 4, 2010 Q&A: "Frequently Asked Questions Regarding the SEC’s NOBO-OBO Rules and Companies’ Ability to Communicate with Retail Shareholders" (4 pages, 169 KB, in PDF format)

• Cary I. Klafter, Intel Corporation and The Society of Corporate Secretaries & Governance Professionals, May 4, 2009 interview in The Metropolitan Corporate Counsel: "Systemic Defects In Proxy Voting Machinery Undermine Good Corporate Governance"

• Dechert LLP, February 1, 2008 Special Alert: "SEC Amends Rules to Facilitate Use of Electronic Shareholder Forums" (3 pages, 97 KB, in PDF format)

• Alston & Bird LLP, January 29, 2008 Securities Law Advisory: "SEC Releases Final Rules on Electronic Shareholder Forums" (4 pages, 330 KB, in PDF format)

• Latham & Watkins LLP, January 29, 2008 Corporate Governance Commentary: "A Practitioner’s Guide To Electronic Shareholder Forums" (9 pages, 71 KB, in PDF format)

• Jeffrey N. Gordon, Alfred W. Bressler Professor of Law, Columbia Law School, abstract and January 15, 2008 draft: "Proxy Contests in an Era of Increasing Shareholder Power: Forget Issuer Proxy Access and Focus on E-Proxy"