Tag Archives: public markets

SEC issues abound, getting caught up…

SEC issues abound, getting caught up…

There are just a lot of things happening in the merchant banking world.  First, of course, President Trump’s first 100 days in office have been a slow walk towards the lofty goals he set forth when he was running for office – don’t get me wrong, I believe that he has made strides towards his goals, but they were always long term goals in the first place.  Rolling back regulation, check.  Obamacare reform, well, working on it…

Now onto other updates:

  • I always follow what Alchemy OTC Markets Specialist does and thinks, so here is his latest update – “SEC Issues Progress Report on United States Title III Equity Crowdfunding Growth Rate“.
  • If you are in the public markets and you’re not reading the monthly OTC Markets’ newsletter, you should.  Here is the March 2017 issue.  Here is an excerpt from it that I think all of the PR / IR professionals need to heed, “Make sure to follow and tag us @otcmarkets in your latest news, positive earnings and corporate actions on Facebook and Twitter. Use the hashtag #OTCQB, to make it easier for investors to find your latest updates.


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Posted by on March 22, 2017 in BLOG, Public markets


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Going public costs, more than you would think…

Going public always costs more than one would think, even someone who is involved in the industry and has taken many companies public over their careers.  Recently we put together a cost estimate for one of our clients based upon a go public project last year.  We normally say going public costs $250,000 and an on going annual cost of $250,000 for the clients we normally provide services for.  What emerged was a cost of approximately $200,000 without any internal costs (which we normally include in the costs as well as recruiting costs for board members, executives, investor relations professionals, stock transfer agents, CPA’s, auditors, and others).

We provide the approximately breakdown here for reference only – please do not take these as non-volatile nor fixed in any way.  Please do not use these outside of for discussion purposes only!

This “Go Public” cost estimate document is copyrighted in 2015 by Rhodes Holdings LLC, all rights reserved.


Posted by on September 1, 2015 in BLOG


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After Facebook IPO debacle, finger-pointing begins

Everyone needs to understand – an IPO is for the company’s current shareholders [who are selling stock] and the company’s operation’s benefit [because money was raised to fund operations], not the investors who buy shares in the open market after the IPO.

If you look at the IPO in those terms, it was a success!

Here is the MSNBC article:

After Facebook IPO debacle, finger-pointing begins.




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OTC Markets newsletter a treasure trove

Each month, OTC Markets puts out a newsletter that always holds some unique treasure for issuers, their management team, and investors in general.  This month’s is no different.  Take some time and read the April 2012 OTC Markets’ Newsletter.


© 2012 by Rhodes Holdings, Inc., all rights reserved.


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