Zacks Small Cap Research Head and Banker Charged with Insider Trading

The broker-dealer division of Chicago-based Zacks Investment Research, has been charged by the Securities and Exchange Commission for failure to supervise staff who traded on non-public material information. The action is a blow to the nascent Reg A research market, where Zacks has been the first and only traditional sell-side broker to offer equity research on Reg A issuers.

Chicken Soup for the Soul Entertainment

Chicken Soup for the Emerging Growth Market: Media Company Completes Largest Reg A Offering Ever, Lists on Nasdaq

Chicken Soup for the Soul Entertainment (CSSE), a provider of “positive” family-friendly video content under the name of the popular self-help book publisher, became the first Reg A issuer to list on Nasdaq’s Global Market last week, debuting August 18 after quickly closing a $30 million offering – the largest Reg A offering ever completed.