Investor communications insights for banks, brokers, issuers and funds

What’s Changed, What Hasn’t Since OBO/NOBO Rules Were Introduced?

Cast your mind back to the stock trading era of the mid-1980s. Power suits, noisy trading floors, and busy signals on slow fax machine lines.
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Time: How to Give Advisors More of Their Most Valuable Commodity

Paul, Sr., left a $3 million estate to Paul, Jr., and the first thing junior did was fire his father’s advisor. It may not be a tale as old as time but it’s a tale for our time. Baby Boomers (born from...
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Demystifying the De-SPACing Process

Transactions utilizing special purpose acquisition companies (SPACs) are more popular than ever. In the first four months of this year, SPACs, also referred to as blank check companies, accounted for...
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Strengthening Shareholder Relationships through the Rise in ESG Proposals

Proxy ballot shareholder proposals may be non-binding, but the 2021 proxy season set record highs in investors voting for a series of environmental, social and governance (ESG) shareholder proposals.
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Attention Corporate Governance and IR Professionals: 10 Actions to Improve Shareholder Engagement

The COVID-19 pandemic will eventually come to an end, but some of the changes that it has brought about will endure for years to come. Corporate governance and investor relations (IR) professionals are...
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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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