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A Hidden Benefit of MINI-IPO: Variable Pricing
A likely overlooked advantage of Regulation A+ (“Reg A”) is that it allows an issuer to conduct certain delayed and continuous offerings without the need to set a share price at the time of qualification. A Note on Terminology In traditional public offerings, issuers...
Private Placement (Regulation D 506(c))
According to the Securities Act of 1933, every company has to register their offering with the SEC in order to sell their shares. There are situations where the exemptions allow the companies to sell their shares without a SEC registration. One such exemption...
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Due Diligence Services
MDC Holdings, Inc. The Mills Corporation Harvey’s Casinos and Resorts Catellus Development Corporation
Erin Baskett
Founder and CEO of SQN Global, Erin Baskett holds multiple certifications and regulatory licenses, enabling SQN Global to be a valuable partner for any financial institution. She is a financial, compliance and operational executive with significant experience in...
Nasdaq executive dismisses ‘discredited’ Steve Bannon’s call to bar Chinese companies from US capital markets
Bob McCooey, a senior VP at the New York-based exchange, said he looked forward to welcoming more Chinese IPOs in a post on WeChatBannon had told the Post he would dedicate his time to shutting Chinese companies out of US capital markets Louise Moon ...
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As a financial services group company that owns a registered broker-dealer, we're bound by the highest standards of compliance and hold ourselves accountable every day to ensure our clients are following all regulatory standards when raising capital. But, at the same...
