Hello from Charlotte:
Supporting Registered Representatives Nationwide
Hello from ACG Deal Crawl in Charlotte! We’re writing from the heart of Charlotte, North Carolina, where the city’s skyline glows with the energy of dealmakers, bankers, principals and investors attending this year’s ACG Deal Crawl. The two-day conference has once again gathered middle-market professionals from across the country to connect, collaborate, and explore what’s […]
How to Value a Company: A TOBIN Perspective
Introduction: The Art and Discipline of Valuation Valuing a company is both a technical exercise and a profound act of discernment. I like to say that the practice is both an art and a science. It requires analytical skills, market fluency, and a disciplined understanding of what drives worth in a dynamic environment. At TOBIN, […]
Comment on SEC Release No. 34-103226, Proposed Rule Changed to Amend FINRA Rule 3220 Influencing Employees of Others
>> Learn more and view other comments on SEC.gov Dear Madam Secretary, As the founder and principal of one of the only solely female-owned broker-dealers in the United States, I appreciate the opportunity to comment on SEC Release No. 34-103226. TOBIN, together with its parent company, Tobin & Company Investment Banking Group, that has served […]
Jury Duty, Little Sleep, and Work Left Behind
I just finished two weeks of jury duty. I began writing as the trial started last week, after nearly three full days of jury selection. This criminal trial involved a serious vehicle collision in the state of North Carolina. As required by law, I am only sending this newsletter and discussing the circumstances after the […]
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 […]
A Resource for Advisors:
Elevating Conversations About Selling a Business
Helping Clients Explore Business Sales with Foresight and Confidence This month, I had the opportunity to present to a major commercial bank on a topic that has been central to my practice for decades: how to prepare clients mentally, emotionally, and operationally for exploring the sale of their business. While M&A expertise may not be […]
Comment on FINRA Regulatory Notice 25-07: Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces
>> View full comment letter on Finra.org Dear Ms. Mitchell, As the founder and a principal of one of the only 100% woman-owned broker-dealers in the United States, I appreciate the opportunity to comment on FINRA Regulatory Notice 25-07. Tobin & Company Securities LLC (“TOBIN”) is a boutique broker dealer that has served issuers and […]
The Hidden Risks of Newer Boards—and Why Guardrails Matter
Last month, I joined a panel at the Private Company Governance Summit in Washington, D.C., focused on a critical but often-overlooked issue: conflicts of interest on newer private company boards. The conversation, moderated by Bill Hayes and joined by Tom Sween and Jim McHugh, sparked a level of engagement that confirmed what I’ve long believed: […]
Comment on FINRA Regulatory Notice 25-04: Broad Review to Modernize Rules
>> View full comment letter on Finra.org Dear Ms. Mitchell, As the founder and principal of one of the only woman-owned broker-dealers in the United States, I welcome the opportunity to comment on FINRA Regulatory Notice 25-04. Tobin & Company Securities is a boutique broker dealer that has served issuers and sponsors and safeguarded investors […]