TOBIN Expands Broker-Dealer Services Internationally

Sep 6, 2023


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 investment opportunities, through TOBIN. In the investment banking and securities industries, the service is referred to as “chaperoning broker-dealer” and operates under SEC Rule 15a-6.

Tobin & Company has provided managing broker-dealer services in the USA for eleven years, so our new service is a natural extension of TOBIN’s existing service offering. This means TOBIN can now assist our broker-dealer peers around the world by chaperoning their sales processes here in the United States and by helping them to access institutional investors here in the U.S.

Current Investment Market Demands More Options

In the current investment market, alternative assets like private equity, private debt, venture capital and real estate, also referred to as private placements, are becoming increasingly popular as investment options for institutional investors. These securities, offered by business entities and corporations, help raise funds for growth and expansion. These alternatives have grown in popularity because they can provide diversification, higher returns, lower volatility and access to unconventional investment opportunities. Institutional investors are increasingly seeking new types of investment opportunities to improve their returns beyond those of the conventional markets, and investing internationally expands those investment opportunities.

Raising private capital fuels economic growth and provides alternate sources of funding for companies that want to grow, especially in light the recent pull-back of traditional bank financing. Private placements can provide investors the potential to earn higher returns on their capital, but also come with potentially higher risk.

Outreach to International Broker-Dealers

TOBIN is offering an open invitation to international broker-dealers to contact us if they have interest in coordinating operations in the United States. This chaperoning service is designed to enable international broker-dealers to gain easier access to investment in the U.S.

After a months-long process, Tobin & Company Securities LLC was notified by the Federal Industry Regulatory Authority (FINRA) that the firm had been approved to chaperone foreign broker-dealers pursuant to Rule 15a-6 in private placements of securities and mergers and acquisitions advisory services. We will explore SEC Rule 15a-6 in detail in an upcoming newsletter.

Call Us for More Information

If you know international broker-dealers who could use our new service to access U.S. investment money, or if you’d just like to learn more about our new service, call us. We’ll answer your questions, ask a few as well, and then let you know if we’re a good fit for your opportunity.

Warm regards,

Justine Signature

Justine Tobin
(704) 334-2772

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