Browsing: North America

SEC to Address Proxy Plumbing

06/22/2011
New York – According to an article on CFO.com, the Securities and Exchange commission plans to look into conflicts of interest at proxy advisory firms: The Securities and Exchange Commission plans ...

Reflections from 2011 NIRI Annual Conference

06/20/2011
New York, NY – Last week, Integrity Research Associates had the opportunity to participate in the National Investor Relations Institute’s (NIRI) 2011 annual conference held in Orlando, FL.  While you ...

Goldman Pays $10 mln to Settle Massachusetts Trading Huddle Probe

06/13/2011
New York, NY – Culminating a two-year investigation by the Massachusetts Securities Division, last week Goldman Sachs agreed to pay a $10 mln fine and end the practice of conducting ...

ITG Acquires Ross Smith

06/08/2011
New York – Investment Technology Group (ITG) has announced that it has acquired Ross Smith Energy Group (RSEG), for $38.5 million in cash. Ross Smith, which currently has 200 ...

Vertical Research Adds another Ranked Analyst

06/06/2011
Last week, independent research firm Vertical Research Partners announced that veteran Morgan Stanley analyst Robert Wertheimer will be joining the firm to cover the global machinery sector.  The hiring of ...

PGR Closes Offices

06/01/2011
New York – The NYTimes Dealbook reports that Primary Global Research has closed its offices, but says it is still open for business: The government’s widespread crackdown on insider trading on ...

Meeting the Regulators

05/31/2011
New York – Meetings with various staff at the Securities and Exchange Commission (SEC) last week indicated that research remains an important topic on the regulatory agenda despite the challenges ...

Great Lakes Migration

05/27/2011
Great Lakes Review, an independent research firm founded in 1981 which was part of Soleil Securities’ research platform since 2005, has left Soleil to join Wellington Shields & Co. As we ...

Datamyne 2.0: Simplifying trade data research

05/26/2011
Miami – Datamyne recently announced its latest product release, featuring a friendlier user interface and expanded user options that make it easy to run complex searches and analyses of its ...

CFA Institute, um, Supports Expert Networks (kind of)

05/24/2011
New York – A recent blog on the CFA Institute website discusses the reputational risk of using expert networks, while providing strong support for mosaic theory and more equivocal support ...