March 14, 2019

Broadridge’s Updated VIF

Last summer, Liz blogged that Broadridge was redesigning its “Vote Instruction Form” in response to Corp Fin feedback and to provide a better user experience. The new design is now in effect – and available along with other resources on Broadridge’s website. Here’s the enhancements:

– Company name more prominent
– Larger, more identifiable control number
– Voting instructions specific to agenda
– Voting section separated for clarity
– No abbreviations of shareholder proposals

Second Circuit Holds “General Statements of Regulatory Compliance” Not Actionable

As noted in this ‘Cleary Gottlieb’ memo, the Second Circuit – in Singh v. Cigna – issued yet another strong decision rejecting the tactic of a company being sued after it announced bad news or corporate mismanagement based on general statements made by the company about its compliance with regulatory requirements or its own ethics policies and procedures.

Transcript: “Conflict Minerals – Tackling Your Next Form SD”

We have posted the transcript for our recent webcast: “Conflict Minerals – Tackling Your Next Form SD.”

Broc Romanek