Category: Regulatory Issues

Securities law and/or other regulatory issues pertaining to transfer of corporate stock for mergers, acquisitions, capital raising, within the U.S. or across international borders

Outsourced Investment Banking for Financial Advisors to Offer Their Business Owner Clients

Since Mid-Market Securities does not conduct any retail stock brokerage business or hold customer accounts (cash or securities), we offer a complementary investment banking service to the practice of independent and affiliated Registered Representatives...

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Does Your Company Need an Investment Banker, M&A Advisor, or Business Broker? Consider the Regulatory Implications.

As with so many things, it depends.   Principally, it depends upon whether your company is publicly or privately held, management’s objective, the size of the company and/or its near term growth potential, and management’s...

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Considerations for Selling a Company to Its Employees via Employee Stock Ownership Plan (ESOP)

Last week’s Wall Street Journal ran an interesting article in the U.S. print edition, titled “Founders Cash Out, but Do Workers Gain?” (April 18, 2013)  The article discusses Employee Stock Ownership Plans, also known...

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