Reverse Merger Funding
Growth Capital for Serious Companies
Brokerage Firm
Brokerage Firm - These are the same as Broker-Dealer firms. They are regulated by FINRA and must be properly licensed and approved before they are able to transact business.
Most brokerage firms have a retail and investment banking department. The retail department is comprised of brokers or registered representatives, as they are correctly referred to, that basically recommend stocks to customers or buy and sell stocks for customers who call the registered reps to place their orders.
The investment banking department is responsible for assisting companies with their funding needs. This can be accomplished in a number of ways, but the most common way is through a private placement, also referred to as a PIPE, or Private Investment in Public Equity. These investments are done through a exemption pursuant to Regulation D, of the Securities Act of 1933, as amended.
Most brokerage firms have a retail and investment banking department. The retail department is comprised of brokers or registered representatives, as they are correctly referred to, that basically recommend stocks to customers or buy and sell stocks for customers who call the registered reps to place their orders.
The investment banking department is responsible for assisting companies with their funding needs. This can be accomplished in a number of ways, but the most common way is through a private placement, also referred to as a PIPE, or Private Investment in Public Equity. These investments are done through a exemption pursuant to Regulation D, of the Securities Act of 1933, as amended.
