FINIQ Newsletters

Our FINIQ Darkpool marketplace quality increased in Q1. Here’s what we’re tracking: More looks at primaries & blocks w/ diligence:  Since March 2024, ~70% of deals matched on Caplight were SPVs, and 77% of those came with diligence materials Caplight Q1 …

After a few lean years of venture financing, 2024 has featured a few blockbuster financing rounds for relatively young companies in generative AI. Unlike prior years in which large rounds sparked movement in the secondary market, this year we’ve seen …

Every spring, hundreds of compliance and legal professionals from across the financial industry head to our nation’s capital for the Financial Industry Regulatory Authority (FINRA) Annual Conference. The purpose of the conference is for FINRA and Member Firms to meet …

In October of 2023, some institutions came back to the market, indicated by increased trading volume and average deal size. As indicated in the Caplight graphs below, Pre-IPO price performance continues to rebound and trading volume has picked up since …

As investment bankers providing M&A, capital raise, and strategic growth advisory services to entrepreneurial leaders inventing the digital future in emerging technology and media companies, the Consumer Electronics Show (CES) is a tentpole event for Progress Partners. We had 8 …

On August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and amendments to the Investment Advisers Act of 1940 that significantly affect the operations of private fund managers. While the new regulations do not directly affect broker/dealers, …

In the public capital markets and in particular markets involving retail investors, SEC regulations and FINRA rules are straight forward when it comes to the definition of a security and what constitutes securities activity. In the private capital markets, not …