Tag Archives: Research

New Free E-Book Provides Thorough Overview of Small and MicroCap IR

IR Magazine just released a new e-book, sponsored by OTC Markets, that provides a thorough overview of IR for smallcap companies. Investor relations is often a new and confusing topic for small and microcap management teams. The free e-book covers many of the basics of small and microcap investor relations. Topics covered include;   ​What you’re working with ​What the average

Read more

MiFID II May Hurt SmallCap Issuers and Burden Investor Relations

Many critics of MiFID II continue to highlight its potentially negative impact on smaller issuers. The big concern is that banks will choose to limit or eliminate coverage of smaller, less followed companies. A recent Bloomberg article echoed these concerns saying; “Liquidity may wane among small- and medium-sized companies as banks scale back their research services in response to MiFID

Read more

NIRI Comments on MiFID II and Urges SEC to Promote Coverage of Small and Mid-Cap Issuers

On October 26, the SEC issued three no-action letters regarding the European Union’s Markets in Financial Instruments Directive (MiFID II). On October 31, the National Investor Relations Institute (NIRI) shared a letter thanking the SEC for the no-action letters and urging the SEC to promote coverage of small public companies. The letter highlights a decrease in research coverage of smaller companies

Read more

SEC Shields Wall Street From MiFID

Last week, following consultation with European authorities, and in response to concerns that investors could lose access to valuable research, the staff of the U.S. Securities and Exchange Commission issued three related no-action letters. These letters are designed to provide market participants with greater certainty regarding their U.S. regulated activities as they engage in efforts to comply with the European

Read more

Small Cap Analyst Barred For Illegally Cashing In On Research Reports

On Tuesday, the Securities and Exchange Commission charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that he wasn’t trading in the companies being covered. He agreed to settle the charges and be barred from trading in penny stocks for the rest of his life. The

Read more

Three Ways For MicroCaps To Target New Investors

In early September, IR Magazine shared a Q&A with Peter Sidoti, founder, chairman, and CEO of Sidoti & Company. One of the questions was “How should small-cap IROs go about targeting new investors?” Sidoti  shared three ways for small and micro caps to target new investors; 1. Work with a first-class investor relations person or firm. 2. Attend conferences targeting

Read more

Three Macro Issues That Will Impact Small Cap PubCos In 2018

This week, IR Magazine shared a Q&A with Peter Sidoti, founder, chairman, and CEO of Sidoti & Company. One of the questions was “What are the top three macro issues small-cap IROs should be preparing for as they look to the start of 2018?” According to Sidoti, Three Macro Issues Small Cap Companies Should Prepare For are; 1. increasing illiquidity in the

Read more

OTC Markets Group to Host Small Cap Forum This Week

  On Wednesday, OTC Markets Group will host an exclusive Small Cap Forum at the OTC Markets Center in New York City. Financial and industry experts will discuss ways to help small cap management teams further develop their business, attract investors and achieve their capital raise goals. The free event will take place June 14th from 2 to 5 PM eastern time. CEOs, CFOs, and IROs

Read more