Institutions Dominate Proxy Process

The proxy process for publicly traded companies has been taken over by institutional investors at the detriment of retail traders and investors. The US Senate Committee on Banking, Housing, and Urban Affairs (SCB) held a…

Consolidated Audit Trail

SEC Blames SRO’s for Slow CAT Rollout

The Consolidated Audit Trail (CAT) is behind schedule and the Securities and Exchange Commission (SEC) is blaming the Self-Regulatory Organizations (SROs), including FINRA, the Financial Regulatory Authority. Jay Clayton, Chairman of the SEC, was on…

US Securities and Exchange Commission - VALIC

SEC Meets Music City Entrepreneurs

Nashville’s nickname of “Music City” comes from its reputation as home to live music—from honky-tonks to the Grand Ole Opry. But more recently the city has been earning a reputation as home to a booming…