In the securities industry, the “Dealmaker” is best understood as a function, not a single legal title. In formal U.S. broker-dealer taxonomy, the closest role is the investment banking representative: Financial Industry Regulatory Authority says the Series 79 registration covers advising on or facilitating debt and equity offerings, mergers and acquisitions, tender offers, restructurings, asset … Read more
After I arguably completed my education in finance, as if one could one day finish to be educated in finance, my mentor told me I was going to start in High Finance. I immediately replied: “The same with bigger amounts?” and he said no. High Finance is a different reasoning from Finance. In finance, one … Read more
Introduction Intellectual Property (IP) Direct Securitization is an innovative financing method that turns intangible IP assets – like patents, copyrights, trademarks, or creative works – directly into tradeable securities. Unlike traditional IP-backed securitization (e.g. Bowie Bonds backed by music royalties), direct securitization does not rely on a company, special-purpose vehicle (SPV), or trust as an … Read more
Historically, monetizing IP through securitization meant using IP assets as collateral for bonds or loans. Typically, a company or an SPV would hold the IP and issue asset-backed securities (ABS) to investors
IP Direct Securitization involves the issuance of securities directly associated with intellectual property rights (patents, copyrights, trademarks, etc.). Investors acquire fractional ownership
Introduction In U.S. patent law, an invention can take different forms – it might be a product, a machine, a composition of matter, or a process. Within the category of processes, there is a special subset often referred to as business method patents. Understanding the distinction between a general process patent and a business method … Read more
The world of intellectual property can be complex, with various terms and processes that may seem daunting to those who are not familiar with them. Two common phrases often encountered in this realm are “patent pending” and “patent issued.” These terms are associated with the protection of inventions through patents, but they refer to very … Read more
Initial Public Offerings (IPOs) are complex financial events that mark a significant milestone for companies seeking to raise capital by transitioning from private to public ownership. Among the numerous stakeholders and service providers involved in this process, the transfer agent plays a critical but often underappreciated role. This article delves into the essential functions of … Read more
The Initial Public Offering (IPO) represents a significant milestone in a company’s growth, symbolizing its transition from a private entity to a publicly traded corporation. This transformative process is laden with regulatory and compliance requirements, which ensure fairness, transparency, and investor protection. Among the entities playing a pivotal role in this process is the Financial … Read more
The Initial Public Offering (IPO) is a transformative milestone for private companies looking to raise capital by offering shares to the public for the first time. While IPOs offer significant opportunities for growth and access to broader investor bases, they also come with a complex regulatory framework designed to ensure market integrity and protect investors. … Read more
