Sponsoring Market Maker - Securities & Going Public Lawyers

Regulation A+ Pointers For Going Public

More issuers going public are opting for a direct public offering using Regulation A+. The new rule provides many benefits for small companies seeking to raise capital without the costs of a traditional initial public offering (IPO) or reverse merger transaction.  Direct… Read More

What is a Sponsoring Market Maker? Going Public Attorneys

  The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain its ticker symbol, a sponsoring market maker (“Sponsoring Market… Read More

What Documents Do Going Public Attorneys Review?

Proper disclosure is critical during the going public process.  SEC disclosures are most often prepared by the company’s going public attorney. The securities laws require that companies provide expansive disclosures in registration statements filed with the Securities and Exchange… Read More

How Does a Market Maker Get a Ticker? Going Public Lawyers

Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain a ticker, a market maker… Read More

What is a Sponsoring Market Maker?

  The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain its ticker symbol, a sponsoring market maker (“Sponsoring… Read More

Sponsoring Market Makers l Going Public Bootcamp

Securities Lawyer 101 Blog One step in going public transactions is obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain a ticker, a sponsoring market maker must submit… Read More

What is Form 211? Going Public Attorneys

The Financial Industry Regulatory Authority (“FINRA”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change that will impact Form 211 filings in going public transactions.  The proposals seek to amend FINRA Rule 6432 to… Read More

Market Makers 101 By: Brenda Hamilton

The Role of Market Makers in Going Public Transactions Market Makers play a critical role in the going public process. The last step in  a going public transaction is for the soon-to-be-public company to locate its sponsoring market maker for… Read More

Going Public in 2015

For many private companies, “going public” is about more than just raising capital. It’s a sign of accomplishment. Direct public offering (“DPO”) have replaced Initial Public Offerings as a means for small businesses to obtain public company status.

Market Makers in Going Public Matters l Securities Lawyer 101

Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a market maker must file… Read More