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Helping public companies and their suppliers deliver better and more cost-effective programs since 1994

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  1. Checklist of "BEST PRACTICES" in Evaluating and Selecting a TRANSFER AGENT

    We first published this article in 2003 and, believe it or not, it didn’t need much updating until recently, other than to note that there has been a very good market for buyers of TA services and a very difficult one for sellers throughout this long period of industry contraction.

    Article

    2016 Year-End Special Supplement
  2. Stock Transfer Agents - Coping With a Shrinking Universe of Providers

    Transfer agents take a lot of heat – from shareholders – and sometimes from their clients too, although, after all, that’s what you really pay them to do. But if you stop to think about it, you’ll realize that they probably wield more tools on your behalf than any other supplier you have.

    Article

    2016 Year-End Special Supplement
  3. Another Look at Transfer Agent Market Share; The Real Decider, We Say, of Transfer Agent Success…...

    Recently, a reader sent us a link to a web-posting from a firm called Auto Analytics, which has been tracking Transfer Agent market share since 2012, based on the number of companies that are active SEC registrants. This way of measuring market share produces very different results from our own method, which is based on the number of shareholder accounts maintained, which we have been tracking and reporting on for over 20 years now.

    Article

    2016 Q3
  4. “STRANDED DRPS” ARE COSTING ISSUERS BIG BUCKS – LITERALLY “FOR NOTHING”

    Article

    2016 Q3
  5. TWO PROPOSED STEPS TOWARD A BETTER RESOLUTION OF THE “STRANDED DRP PROBLEM”

    Article

    2016 Q3
  6. ADRmageddon…SEC Enforcement Subpoenas Hit The Top-4 ADR Banks: Mega-Scandals Threaten ADR Bankers...

    The SEC’s Enforcement Division has issued wide-ranging subpoenas to the four largest ADR banks - and to many of their top officials, we are told - demanding detailed information going all the way back to 1997, according to our source - the chief whistleblower, who, while wanting to be anonymous for now, knows the ADR business inside and out.

    Article

    2016 Q1
  7. Shareholder Services Association to Ring Closing Bell at the New York Stock Exchange

    The Board of the Shareholder Services Association (the “SSA”) will have the honor of ringing the iconic New York Stock Exchange closing bell at the end of trading on Wednesday, May 18, 2016, in celebration of the SSA’s 70th anniversary.

    Article

    2015 Q4
  8. 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.

    Article

  9. Transfer Agents & Issuers: Are You Prepared For The Future?

    The 2015 Industry Index Helps Us Get To Safe Shores

    Article

    2016 January Special Supplement
  10. Transfer Agent Market Share Updates Show Major Shrinkage In The Registered Holder Universe

    Much More Shrinkage Still To Come, We Say

    Article

    2015 Q3