Comment on File No. S7-2026-15:
Proposed Semi-Annual Reporting
>> Learn more and view other comments on SEC.gov I oppose the proposed amendments that would allow public companies to replace quarterly reporting with semi-annual reporting. I submit this comment in my personal capacity as an individual trader and investor and as a securities and investment banking professional active in the private and public capital […]
Comment on File No. SR-FINRA-2026-004 – Financial Projections and Targeted Returns
>> Learn more and view other comments on SEC.gov Dear Secretary: I am the founder and owner of Tobin & Company Securities LLC, a FINRA-registered broker-dealer headquartered in Charlotte, North Carolina. I have worked in investment banking for more than forty years, advising on mergers and acquisitions, equity offerings, debt financings, and private placements through […]
Comment on FINRA Regulatory Notice 26-02: Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud
>> Learn more and view other comments on FINRA.org Dear Ms. Mitchell, I submit this comment as an individual industry professional. I am a FINRA-licensed principal and the owner of the broker-dealer in the letterhead. But I am not writing on behalf of my firm. I am writing as a person who, despite decades in […]
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 […]
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 […]
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 […]
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 […]
Comment on FINRA Regulatory Notice 25-05: Outside Business Activities and Private Securities Transactions
>> View full comment letter on Finra.org Dear Ms. Mitchell, Thank you for the opportunity to comment on FINRA Regulatory Notice 25-05, which proposes a revised framework for Outside Business Activities (OBAs) and Private Securities Transactions (PSTs). I write on behalf of TOBIN, a boutique, woman-owned broker-dealer, to offer our direct perspective. While we appreciate […]
TOBIN Expands Broker-Dealer Services Internationally
Tobin & Company Securities LLC has announced a new service-line representing broker-dealers from other countries around the world who want to raise capital for their issuer clients by selling securities in the United States. The move means foreign broker-dealers outside the U.S. can access U.S. investment capital and, in turn, institutional U.S. investors can access global […]
Securities Laws Can Impact Private Companies, Too
Boards of private companies typically focus on strategic matters such as market forces, competitive dynamics, business continuity and succession. But from time to time all private companies find that they need an infusion of capital to fuel growth, enhance business processes, execute continuity strategies or achieve operational and strategic goals. As a result, directors of […]