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.

Click here to read the SEC Letter by Carl T. Hagberg

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.

Any Qs, feel free to call at +1 (732) 928-6133 or +1 (732) 778-5971, or email me at cthagberg@aol.com.

Cheers!