This past week, members of the North American Securities Administrators Association lobbied Congress to do away with mandatory arbitration provisions from customer agreements. In a speech before this group, SEC
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U.S. Congress
Potential Federal Legislation to Register Behind the Scenes Corporate Principals
By Ernest Badway on
Recently, a bipartisan bill was introduced in the United States Senate that would require states to obtain the identity of persons who act behind corporations. Essentially, this legislation would end…
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Congress Pushing for Operational and Structural SEC Changes
By Ernest Badway on
Recently, a congressman released draft legislation that would institute comprehensive changes at the SEC. This legislation was dubbed the “SEC Modernization Act.”
This legislation would consolidate several SEC offices including…
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