Comments on Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
>> View full comment letter on SEC.gov Dear Madam Secretary, As the founder and a principal of one of the only woman-owned broker-dealers in the United States, I appreciate the opportunity to comment on Release No. 34-97208. Tobin & Company Securities LLC (“TOBIN”) is a boutique broker-dealer that has served issuers and sponsors and safeguarded […]
506(b) vs. 506(c): Which One Fits Your Fundraise?
Choosing the right Rule 506 option under Regulation D of the Securities Act when raising private capital is often not simple. Rules 506(b) and Rule 506(c), the two most popular Reg D exemptions, have key differences. Your best choice depends on factors such as your targeted investor type, your desired marketing approach, and your determined […]