Comment on File No. S7-2026-17, Registered Offering Reform
>> Learn more and view other comments on SEC.gov Dear Ms. Countryman: I am writing on behalf of Tobin & Company Securities LLC, an independently owned FINRA-member broker-dealer. TOBIN serves as Managing Broker Dealer for private alternative investment offerings, principally offerings conducted under Rules 506(b) and 506(c) of Regulation D. TOBIN supports the Commission’s proposed […]
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 >> View FINRA’s Response 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, […]
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 […]