It’s been three years since the Dodd-Frank reforms were signed into law. Title IV of the act included expanded registration and disclosure requirements for registered investment advisers. Last year, we wrote an analysis of the top Private Fund Administrators. Unsurprisingly, … Continue reading
Monthly Archives: October 2013
Auditor Ratification: Shareholders Appear Content
Since a change in regulation came about in 2010, it has become significantly more common for shareholders to vote on the company’s independent auditor. That change, first implemented by the NYSE and then approved by the SEC, limited a broker’s … Continue reading
2013 Transfer Agent Market Share: AST Still On the Rise
Last year, we looked at the Transfer Agents engaged by SEC registrants and found that the SEC market was dominated by a few agencies. Computershare/BNY Mellon (Computershare) led the pack with 30.9% of total market share, and American Stock Transfer … Continue reading
IPO Pending? Top Private Placements in Tech Companies
With the economy seemingly headed towards recovery and unemployment stabilizing, it appears that the crisis of 2008 may finally be just a memory. At the very least, it seems that the capital markets are in good shape. IPOs are on the rise again, and market … Continue reading