Compliance with Confidence

Oct 22, 2020


Ever wonder who helps a company or fund maintain integrity and credibility when selling private securities? The answer is a managing broker-dealer like Tobin & Company Securities LLC.

When a company issues a security offering without the assistance of a licensed finder, TOBIN can help ensure regulatory compliance with the myriad of our country’s securities laws through all stages of the securities transaction (Section 3(a)(4) of the Securities Exchange Act of 1934). For 10 years our oversight and supervision have provided a safe harbor for issuers and their employees who raise capital.

As a FINRA-licensed broker-dealer, TOBIN helps companies navigate the complexities of a private securities offering, even if capital is raised independently of finders.

Our guidance is especially crucial for issuers who sell to individuals, known as retail investors. In such cases, due diligence and investor approval processes must be precisely managed to avoid a minefield of regulatory red tape that can sideline an offering.

As the designated managing broker-dealer, Tobin & Company Securities LLC works closely with an issuer’s management team performing due diligence and providing guidance in document preparation, process management and securities compliance for the offering.

An attorney will likely advise when your offering warrants a managing broker-dealer; however, independent issuers may choose to engage a managing broker-dealer to instill confidence in an offering and provide a safe harbor.

Ultimately, TOBIN provides peace-of-mind for issuers trying to augment and refine the offering, the process and compliance.

We’re glad to answer any questions you may have about our managing broker-dealer services. Just email me at

Warm regards,
Justine Tobin
(704) 334-2772

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