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IR MANAGEMENT

Tax & Regulatory Services

Our ownership identification, sampling and surveying capabilities provide our clients with intelligence for tax and regulatory compliance.

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With audit-ready deliverables, we help companies that need to prove their U.S. ownership falls within a particular level (i.e., above fifty percent for tax treaty ownership tests and below fifty percent for foreign private issuer).

We also assist U.S. companies that need to prove they have a significant majority of U.S. shareholders, such as for FCC or maritime regulated companies, providing the required support documentation. 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.

Our team has over 20 years of 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
  • Vast database of institutional contacts to help maintain communication with bondholders


Why Nasdaq Advisory Services

  • Experience – With over 50 years of collective experience in global shareholder identification, we provide insights to a client base across various industries including: energy, industrial products, communications, shipping, financial services, and technology.
  • Expertise – We maintain our superior position in the marketplace due to 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.
  • Proprietary Ownership Database – Our shareholder data resources are unmatched in the industry, including Thomson Reuters’ ownership information, Lipper and Morningstar public filing data. Our proprietary 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 utilize to provide premium outputs for clients are sophisticated and time-tested to maximize our data aggregation capabilities.
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