Investor communications insights for brokers, issuers and funds

SEC Grants Rule Change that Prohibits Certain Reimbursements from Issuers to NYSE Member Organizations

The Securities and Exchange Commission (SEC) announced on August 13, 2021, that it has approved Rule 451A, which in certain circumstances prohibits brokers that are members of the New York Stock Exchange...
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Transparency to Drive Change

The necessity for transparency stretches from individuals to institutions, as the pandemic increased pressure on companies to open up to stakeholders such as investors, customers and employees, explains a...
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Data-driven Regulation Yields Better Results

Think back to the early weeks of the COVID-19 pandemic and the efforts many of us made to wash our groceries to combat the spread of the virus. At the time, the data suggested that surfaces were the...
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The Evolving Role of the Corporate Secretary

A partner to the chair of the board, and a bridge between the board and shareholders, the corporate secretary has privileged access balanced by an emphasis on administration and procedure. Bureaucratic...
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Secure Your Business for the Future of Remote Working

The return to the office is well underway, but work routines are expected to look different than they did before the pandemic. Many companies have announced that they will offer a hybrid of office and...
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Retail Investors Want Insights and Tools to Trade Like the Pros

One of the effects of the COVID-19 pandemic has been a significant rise in the number of new traders, especially among the Millennial age category. We’ve discussed what brokers and issuers can do to...
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