Louis Taubman
Partner, Hunter Taubman Fischer & Li
Louis Taubman is a partner in the New York office of Hunter Taubman Fischer & Li. His practice concentrates on securities law, corporate finance, and corporate governance. He represents issuers, broker-dealers, and investors in private and public financing transactions, mergers and acquisitions, corporate governance, and SEC compliance, and advises issuers on their Securities Exchange Act of 1934 reporting requirements. He also helps companies with initial listings on Nasdaq, NYSE American, OTCQX, and other markets, and with ongoing compliance with exchange listing requirements.
Feb. 13, 2025
What does it mean to be a reporting company?
What a reporting company is: a company with stock registered under the Exchange Act of 1934 that files 10-Ks, 10-Qs, and 8-Ks.
Guest: Louis Taubman
Feb. 11, 2025
What is an S-3?
What an S-3 is: a short-form registration companies listed for 12 months can use to raise more money from public investors at lower cost.
Guest: Louis Taubman
Feb. 7, 2025
What is a national securities exchange?
What a national securities exchange is, like Nasdaq and the NYSE, how it differs from the OTC market, and the advantages of listing.
Guest: Louis Taubman
Feb. 6, 2025
What is a follow-on offering?
What a follow-on offering is: any offering after a company's IPO, used to sell more shares and raise more capital.
Guest: Louis Taubman
Feb. 5, 2025
What is a 10-K?
What a 10-K is: the annual report on a public company's financial and operating results, and why every investor should read it.
Guest: Louis Taubman
Feb. 3, 2025
What is an Underwriting Agreement?
Lou Taubman explains the underwriting agreement between a company and its investment bank, covering responsibilities, pricing, share count, and timing.
Guest: Louis Taubman
Feb. 3, 2025
What is a 10-Q?
What a 10-Q is: the quarterly report public companies file for the first three quarters of the year, before the annual 10-K.
Guest: Louis Taubman
Jan. 31, 2025
What is an ATM?
What an at-the-market offering is, and how S-3 eligible companies use an ATM facility to sell shares at market prices when conditions are right.
Guest: Louis Taubman
Jan. 29, 2025
What documents are involved in an IPO?
The key documents in an IPO: the S-1 registration statement, the underwriting agreement, and the audited financial statements.
Guest: Louis Taubman
Jan. 28, 2025
What is the role of the Auditors in an IPO?
What auditors do in an IPO: as an independent third party, they verify the company's financial statements so investors can trust them.
Guest: Louis Taubman
Jan. 28, 2025
What is the role of investment bankers in an IPO?
What investment bankers do in an IPO: distribute the securities, perform due diligence, and lead price discovery.
Guest: Louis Taubman
Jan. 27, 2025
What is the role of company counsel in an IPO?
What company counsel does in an IPO: prepares the S-1, negotiates the underwriting agreement, and coordinates due diligence.
Guest: Louis Taubman
Jan. 27, 2025
What Is An 8-K?
What an 8-K is: the current report filed when material events happen between quarterly and annual reports, like a new CEO or major contract.
Guest: Louis Taubman
Jan. 24, 2025
What is an S-1
What an S-1 registration statement is, what the SEC requires, and why investors should read the prospectus before buying.
Guest: Louis Taubman
Jan. 23, 2025
What is a Registered Direct Offering?
What a registered direct offering is, an overnight deal sold to a small group at market-based terms, and how it differs from an ATM.
Guest: Louis Taubman
Jan. 23, 2025
Who is Involved in an IPO?
The players in an IPO: the company going public, the underwriting investment bank, the independent auditor, and counsel.
Guest: Louis Taubman
Jan. 23, 2025
What Is An IPO?
What an IPO is: a company's entry into the public markets by selling securities, mainly common stock, on exchanges like Nasdaq and the NYSE.
Guest: Louis Taubman
Jan. 22, 2025
What is a private offering?
What a private offering is, how it differs from an IPO, and why these deals are limited to accredited investors.
Guest: Louis Taubman
Jan. 22, 2025
What is a public company?
What a public company is: one whose securities trade on a public market and that files public reports like 10-Ks and 10-Qs.
Guest: Louis Taubman