December 1, 2011

Dave & Marty on New ISS Policies, Capital Formation and Electric Cars

In this podcast, Dave Lynn and Marty Dunn engage in a lively discussion of the latest developments in securities laws, corporate governance, and pop culture, including:

– ISS Policy on Say-on-Pay Voting Results
– ISS Policy on Choice of Venue Proposals
– The SEC’s Latest Capital Formation Initiatives
– Marty’s Volt

By the way, ISS is holding webcasts next week to discuss the updates to its US and European policies.

SEC’s Inspector General Being Investigated by SEC’s General Counsel

Last week, Bloomberg ran this article noting that the SEC’s general counsel is investigating whether the SEC’s Inspector General David Kotz acted appropriately when he gave a 75-minute video interview to, which was also uploaded on YouTube in 12 different segments (here is one segment for example). Kotz claims he cleared his appearance with the SEC’s Ethics Office – but questions have been asked about whether his appearance should be considered “investment advice.”

Our December Eminders is Posted!

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– Broc Romanek