Reorganization Notice Distribution

Reorganization Communication Services for the Financial Community

Corporate and Class Action events (tenders, exchanges, Dutch auctions, subscriptions, securities litigation, etc.) that affect your customer's holdings require that you make every reasonable effort to notify them. When you consider outsourcing your reorganization communications, you need to be sure you're partnering with a credible and experienced organization focused on helping you meet your objectives, maintain compliance and reduce costs.

Broadridge Can Help Your Firm

  • Maintain compliance with shareholder communication regulations.
  • Reduce your involvement in the critical shareowner response tracking process.
  • Reduce your expense in the corporate action setup process.
  • Provide the fastest delivery of materials to your customers via paper and electronic methods.
  • Provide online access to digitized reorganization materials (prospectuses, 14D-9s, etc.).
  • Reduce cost and maintain compliance with the MSRB/NASD through our bankruptcy/default service.
  • Facilitate the announcement gathering and mailing aspects of class action processing.

How the Reorg Notification Process Works

  • Broadridge receives corporate action announcements via a network of notification sources (DTCC, Xcitek, Wall Street Journal, corporate issuers/solicitors).
  • Utilizing the same data communication interface as the proxy service, Broadridge communicates with your firm daily to now include the reorg
  • CUSIPs and record dates.
  • Broadridge then promptly orders materials for reorganization mailings from the corporate issuers/solicitors, digitizes the material for future online library access, creates your branded reorganization letter that is inserted with the paper documents, and delivers to your customer either in hard copy or via a secure Internet site.
  • Broadridge provides an Internet shareholder response site to your customers (

Broadridge checks in on top


  • Reorg Client base of over 150 financial institutions
  • Mailed in excess of 11 million reorg-related shareholder mailings last year


  • Mail turnaround averages (99% within 48 hours)
  • Failed e-delivery of Reorg notices automatically defaults to paper delivery
  • Auxiliary reports of daily status of Reorg notices
  • Distribution of Reorg material to branches and advisors


  • Online shareholder tracking system available 24/7 through
  • Redundant system and network architecture

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