Mitchell Grant is a self-taught investor with over 5 years of experience as a financial trader. He is a financial content strategist and creative content editor. Dr. JeFreda R. Brown is a financial ...

The Securities and Exchange Commission will no longer block companies from going public if their governance documents include mandatory arbitration clauses, as the regulator's chief Paul Atkins aims ...

The article argues that the decline in public companies is due to private mergers, not regulation or litigation risks. Current market conditions are strong for IPOs, but SEC moves to allow mandatory ...

The US Supreme Court’s liberal minority signaled their support that local “last mile” delivery drivers are exempt from ...

Texas Attorney Complaint Transparency and Record Preservation Act: Require the Texas State Bar to permanently retain all bar ...

Mandatory arbitration clauses in RIA contracts have been a point of contention for over a decade, and these clauses have re-entered the spotlight as the SEC recently deliberated over the issue once ...

It’s been 14 years since the Congress gave the SEC its blessing to clamp down on mandatory arbitration clauses in registered investment advisors’ contracts – and it is now considering what to do about ...

I have something in common with Stephen Sawtelle — a former broker from Waddell & Reed who was just awarded almost $28 million from an NASD arbitration panel (see the front page story in The Wall ...

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It is facing long odds of passage, but Rep. Keith Ellison's recently introduced bill to end mandatory arbitration in broker and investment adviser agreements makes sense. The Democrat from Minnesota ...