SSA conference highlights unclaimed property risks, shareholder engagement
Amid Broomfield, Colorado’s majestic Rocky Mountains terrain, roughly 175 transfer agents, unclaimed property experts, corporate...
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Regulatory & compliance archive
Cutting the cost of transfer agents
As the registered shareholder base of
publicly traded firms continues to shrink, many issuers are seeking ways to lower the costs...
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Supreme Court nullifies 3 NLRB recess appointments
With the issuance of its long-awaited decision in Noel Canning v. the NLRB on June 30, the Supreme Court invalidated President...
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Court ruling makes defense against class certification easier in fraud cases
On June 23 the US Supreme Court issued its opinion in Halliburton v. Erica P. John Fund and made it a little easier for companies...
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Incentivizing whistleblowers to report internally
With last month’s Nebraska district court decision extending whistleblower protections under the Dodd-Frank Act to employees who...
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FSLA lawsuits up on class action limits, rising employee awareness
Fair Labor Standard Act (FLSA) cases filed in the past year hit a new record high of 8,126, up 5 percent over the prior year, due...
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AST to acquire proxy solicitation firm DF King
On May 27 American Stock Transfer & Trust Co. announced a definitive agreement under which its affiliate, AST Fund Solutions, will...
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SEC fines NYSE $4.5 million for violating its own rules
The SEC has fined the NYSE $4.5 mn for violating its own rules and failing to comply with its responsibilities as a self...
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Conflict minerals rule in question after court’s free speech ruling
Less than two months before the first reporting deadline, a federal appeals court ruling on April 14 has thrown into question how...
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Big changes may be in store for securities litigation, PwC study shows
One thing that is constant is change, and that applies to securities litigation and enforcement. According to PwC’s recently...
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