【作者简介】
王敏，单位为清华大学法学院。
【注释】See SEC,The SEC Today Released an Opinion of Baldwin B. Bane,Release No. 3638 （January 3,1945）.
SEC,Release No. 9784 （September 22,1972）.
SEC,Adoption of Amendments to Proxy Rules,Release No. 34-4979 （January 6,1954）.
See James Hamilton,1998 SEC Proxy Reform:Shareholder Proposals,Chicago:CCH Incorporated,1998,p. 13
SEC,Proposed Amendments to Rule 14a-8 under the Securities Exchange Act of 1934 Relating to Proposals by Security Holder,Release No. 34-12598 （July 7,1976）.
See Amy L. Goodman,John F. Olson,A Practical Guide to SEC Proxy and Compensation Rules,Aspen Law&Business,4th ed.,2007,p.14-59,p.14-33.
See American Federation of State,County&Municipal Employees v. American Intern. Group, Inc.,462 F.3d 121 （2d Cir. 2006）.
See SEC,Facilitating Shareholder Director Nominations,Securities Act Release No. 9046 （June 10,2009）.
See Martin,The Effect of Shareholder Proposals on Executive Compensation,67 U. Cin. L.Rev. 1021 （1999）:1045-1046,1048-1049.
John M. Bizjak and Christopher J. Marquette,Are Shareholder Proposals All Bark and No Bite？Evidence from Shareholder Resolutions to Rescind Poison Pills,The Journal of Financial and Quantitative Analysis,Vol. 33,No. 4 （Dec.,1998）:502.
See 1990 SEC No-Act. LEXIS 89.
See Medical Committee for Human Rights v. SEC,432 F. 2d 659 （C. A. D. C. 1970.）
1992 SEC No-Act. LEXIS 984.
SEC,Amendments to Rules on Shareholder Proposals,Release No. 34-40018 （May 21,1998）.
刻瑞斯原则是1989年由环境负责经济体联盟（Coalition for Environmentally Responsible Economies,CERES）制定的自愿性公司行为法典，该原则要求公司遵守以下十项法则：保护生物圈；自然资源可持续利用；减少废物、加强废物处理；节约能源；减少环境风险；产品与服务安全：修复环境；向公众提供信息；管理层责任承诺；及时审计与报告。See Elizabeth Glass Geltman,Andrew E. Skroback,Environmental Activism and the Ethical Investor,22 J. Corp. L. 465 （1997）:498.
See 1990 SEC No-Act. LEXIS 115;1990 SEC No-Act. LEXIS 131;1990 SEC No-Act. LEXIS 139.
Elise N. Rindfleisch,Shareholder Proposals:A Catalyst for Climate Change-Related Disclosure,Analysis and Action？,5 Berkeley Bus. L. J. 45 （2008）:48.
Note,Permissible Scope of Stockholder Proposals under SEC Proxy Rules,57 Yale L. J. 874（1948）:881.
SEC,Adoption of Amendments Relating to Proposals by Security Holders,Release No. 34-12999（Nov. 22,1976）.
See Lovenheim v. Iroquois Brands,ltd.,618 F. Supp. 554 （D. D. C. 1985）.
如德拉华州
公司法第109节第（1）项规定：“任何公司可以在其公司章程中，将采纳、修订或废除细则的权力授予董事会，或者非股份公司中的管理机构。权力授予董事会或管理机构的情况，不得剥夺股东或成员的权力，亦不得限制他们采纳、修改或取消细则的权力。”
See Marleen A. O''Connor,Organized Labor as Shareholder Activist:Building Coalitions to Promote Worker Capitalism,31 U. Rich. L. Rev. 1345（1997）:1366.
刘连煌二《现代
公司法》，台北新学林出版股份有限公司2007年版，第286页。
参见张凝：《日本股东大会制度的立法、理论与实践》，法律出版社2009年版，第166-167页。
