Tag: regulators

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Moseying to compliance: Nasdaq’s 348-day cure…
June 25, 2012—The exchanges make a big deal out of the rules they impose on their listed companies, and there are certainly plenty of hoops for companies to jump through. But sometimes, we have to wonder how much anyone is actually thinking about them.

Proxy access: The free-speech edition…
February 11, 2011—The lawsuit brought against the Securities and Exchange Commission last fall by the U.S. Chamber of Commerce and the Business Roundtable -- seeking to toss out a rule giving some shareholders the right to put their own board candidates in the official ...

Diamond Foods extracts a problematic chemical…
October 7, 2010—We'll admit to having a genuine fondness for Kettle chips, those salty, extra-crispy potato slices that deliver more crunch and flavor than the potato chips we ate as kids. Somehow paying more for a bag doesn't seem so unreasonable, since ...

The scoop on Kraft’s coffee price fixing woes…
August 10, 2010—One benefit from reading SEC filings is that they allow us to distill some of the details about matters that have previously only been reported in a general way. A good example comes from the 10-Q that Kraft Foods, Inc. (KFT) filed ...

The SEC turns its attention to the proxy …
July 14, 2010—Over the last 30 years, the mimeograph has given way to PDF, and rotary dial phones have been replaced by voice dialing and Bluetooth headsets. Stock ownership has exploded into the middle class from the ranks of the elite. Meantime, the U.S. proxy process hasn't ...

Intel’s veiled warning…
May 14, 2009—Yesterday, the big news was the $1.45 billion fine that the European Union levied against Intel (INTC). The headline in this morning's WSJ is particularly alarming: Intel Fine Jolts Tech Sector. Here's a link to Intel's statement on the fine from Intel ...