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Investor Relations Solutions

TAX & regulatory services

We help companies that need to demonstrate their U.S. ownership falls within a particular level (e.g., above fifty percent for tax treaty ownership tests and below fifty percent for foreign private issuer). 


Proprietary Ownership Database – Our shareholder data resources include; public filing data from various sources together with proprietary data from Nasdaq Advisory Services. Our relationships with the investment community are unparalleled, including over 1,000 institutions that are regularly queried on shareholder positions. The internal data-management systems that we use to provide premium outputs for clients are sophisticated and time-tested to maximize our data aggregation capabilities. 

We assist U.S. companies that need to prove they have a significant majority of U.S. shareholders. For example, we provide the required support documentation for FCC or maritime regulated companies. We also service acquirers in certain tax-free deals by helping them obtain time-critical and often-overlooked shareholder tax basis information on the target company’s outstanding shares. 


Expertise – We maintain our superior position in the marketplace based on the breadth of our knowledge of regulatory compliance guidelines, whether pertaining to Foreign Private Issuer certification, Tax Treaty limitation of benefits (LOB) tests, maritime law compliance (Jones Act), FCC ownership requirements (310(b)), or shareholder statistical sampling techniques under IRS revenue procedures. 

Our tenured team has experience analyzing shareholder data to meet your company’s specific regulatory needs. We have successfully completed IRS pre-filing agreement programs and shareholder study audits and our shareholder sampling practices are the go-to methods for complex shareholder analyses needed by our clients. 


Fixed Income Identification: 

  • Comprehensive bondholder analysis on the secondary market provides a view of current bondholders on single or multi issue level 
  • A vast database of institutional contacts helps maintain communication with bondholders

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