Newsletters Archive - FINIQ

Caplight: Market Momentum Entering 2025

Eve Tan — Tue, 04 Mar 2025 21:32:08 +0000

Private Outperformed Public in 2024 26% Increase in Trading Volume Year-over-Year Data & AI Continues to be the Hottest Sector in the Market Private Data & AI Multiples Remain Attractive vs. Public Peers Triple digit revenue growth outpaced valuation gain …

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F/m Investments Launches Industry First Ultrashort Treasury Inflation-Protected Security (TIPS) ETF (RBIL)

Eve Tan — Tue, 04 Mar 2025 20:48:50 +0000

F/m Investments (“F/m”), a $16 billion investment firm and innovative provider of exchange-traded funds (ETFs), recently announced the launch of the F/m Ultrashort Treasury Inflation-Protected Security ETF (Ticker: RBIL). This passively managed TIPS ETF provides inflation protection while minimizing interest …

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Navigating FINRA’s Regulatory Priorities: Key Takeaways for 2025

Eve Tan — Tue, 04 Mar 2025 16:59:47 +0000

The 2024 FINRA Annual Regulatory Oversight Report serves as a crucial guidepost for firms navigating the evolving compliance and risk landscape. As regulatory scrutiny intensifies across financial markets, firms must ensure their compliance frameworks are robust, proactive, and adaptable to …

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FINIQ: IPO Outlook for 2025

Eve Tan — Mon, 03 Mar 2025 20:35:30 +0000

Moving into 2025, there was some momentum for a rebirth of the IPO marketplace. 2024 had a few successful public launches: Reddit, Astera Labs, and Rubrik trade well above their issuance pricing. Even relatively weak IPOs, such as ServiceTitan are …

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Key Takeaways from FINRA Disciplinary Actions – Nov’24

Eve Tan — Mon, 09 Dec 2024 17:56:58 +0000

The FINRA Disciplinary Actions for November 2024 highlight ongoing efforts to enforce compliance and maintain investor protection. This month’s cases reveal significant penalties for anti-money laundering (AML) failures, supervisory lapses, and violations of Regulation Best Interest (Reg BI). Below is …

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Q4 2024 Pre-IPO Secondary Market Update

Eve Tan — Mon, 09 Dec 2024 16:28:21 +0000

According to a recent report from Jeffries, global secondary volume was $68 billion, a 58% increase in volume in H1 2024. The increase in volume is due to both an increase in the AUM of secondary funds and an increased …

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Market Uncertainty: Signals of a Recession and Strategic Optimism for 2025

Eve Tan — Mon, 09 Dec 2024 16:08:28 +0000

Market euphoria? Beware, we may be entering recession. The US has been adding about $1T in national debt every 100 days since February of 2024– crisis spending, supposedly during economic expansion. What happens when that spending is reduced? The massive wins …

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Data Centers: AI’s Backbone and Private Market Powerhouse

Eve Tan — Tue, 12 Nov 2024 14:38:18 +0000

The rapid expansion of artificial intelligence has positioned data centers as crucial infrastructure, with U.S. companies driving a construction boom in this sector. Since the release of ChatGPT and similar tools, U.S. data center construction spending has surged to nearly …

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Westlake Securities Oct 2024 Update: The Perfect Storm

Eve Tan — Thu, 24 Oct 2024 14:46:04 +0000

As we approach the second half of 2024, the merger and acquisition landscape is poised for significant activity. With evolving market conditions and emerging opportunities, companies must be proactive in their strategies. Westlake Securities emphasizes the importance of preparedness and …

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FINRA Disciplinary Actions September 2024: Key Takeaways

Eve Tan — Tue, 22 Oct 2024 17:02:12 +0000

In its latest report, FINRA highlighted several significant disciplinary actions for September 2024, targeting both firms and individuals for violations of securities laws and regulatory requirements. These enforcement actions are crucial in maintaining integrity and investor protection within the financial …

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State of the Venture Capital Market in 2024

Eve Tan — Tue, 22 Oct 2024 15:51:03 +0000

Earlier this month, AI market-leader OpenAI made headlines with a $6.6B capital raise. Structured as a convertible note, this raise may either show a return to a vibrant venture market like 2020-2021 or signal the peak of a frothy AI …

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Q3 2024 Pre-IPO Secondary Market Update

Eve Tan — Tue, 22 Oct 2024 15:35:41 +0000

FINIQ’s pre-IPO brokers, saw a slowdown from Q1-Q2 with most of the activity focused on primary fundraising. AI, Defense and Space continue to be the only verticals experiencing buyer demand. Caplight’s recent market report shows secondary market activity down 28% …

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