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…

US Securities and Exchange Commission - VALIC

SEC Names Jeffrey Dinwoodie Senior Counsel and Policy…

The Securities and Exchange Commission today announced that Jeffrey T. Dinwoodie has been appointed Senior Counsel and Policy Advisor for Market and Activities-Based Risk.  Chairman Jay Clayton has created this senior officer position to manage…

US Securities and Exchange Commission - VALIC

SEC Names Manisha Kimmel as Senior Policy Advisor…

The Securities and Exchange Commission today announced that Manisha Kimmel will serve as Senior Policy Advisor for Regulatory Reporting to Chairman Jay Clayton.  In this new role, Ms. Kimmel will coordinate the SEC’s oversight of…

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…