Carl Hagberg's Comments to the SEC - Transfer Agency Industry
After almost 30 years of no action, the SEC asked for comments on a "mega-list" of proposed initiatives to regulate the transfer agency industry, which has changed beyond recognition, and in numerous ways, since their last real rule-making. Read Carl Hagberg's, sometimes contrarian comments - based on 32 years of experience in and 23 around the transfer agency business.
Publicly traded companies - and their key legal and IR advisors - would be well-advised to browse the comments, since transfer agents assume - and many times create - a wide variety of liabilities, where public companies need to be 100% sure they are properly covered.
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