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Equity Crowdfunding and the Introduction to the 15c-211 Process.
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In this episode of Off Road with Frank Ferraro, Frank teams up with securities attorney Andrea Cataneo to dive deep into the evolving world of equity crowdfunding and its critical intersection with market making. Together, they explore the steps companies take beyond initial fundraising to achieve liquidity through the 15c2-11 filing, which is required to get listed and traded.
Frank shares his early experiences as a Wall Street market maker, detailing the historical evolution of trading and regulatory compliance. Andrea provides expert insights on the legal and ethical considerations that guide the path to public trading, emphasizing the importance of strong fundamentals, transparency, and robust management in companies entering the capital markets.
This episode highlights:
The significance of the 15c2-11 filing in providing investors with liquidity.
How technology has transformed trading and market making.
Ethical and practical challenges in today's capital markets.
Predictions for the future of market making, including automation and democratization of trading.
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