Challenges and Solutions for Micro and Small Cap Companies Going Public

This episode discusses the major challenges faced by micro and small cap public companies, particularly focusing on the lack of sponsorship that these companies often encounter when they go public via IPO, reverse merger, or SPAC without support from well-known banks. 

The importance of the Investor Relations (IR) function in addressing this challenge is highlighted, emphasizing the need for proactive and creative strategies to increase visibility and awareness among investors.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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Navigating Investor Relations in SPAC Transactions

In this episode, David discusses the unique challenges and critical considerations for investor relations (IR) teams when working with Special Purpose Acquisition Companies (SPACs). SPACs offer a streamlined path to public markets but require IR teams to develop strong management credibility and investor confidence. Achieving this involves setting realistic financial targets, having a solid strategy, and maintaining transparency in communications post-merger. The episode emphasizes the importance of frequent communication with analysts and investors to build and sustain credibility.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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In this podcast episode, Nicholas Coriano delves into the advantages of government contracts from an investor's perspective. He outlines key benefits, emphasizing the predictable and reliable income these contracts offer compared to traditional commercial agreements. Government contracts often span several years, providing long-term revenue stability and reducing exposure to market volatility. 

This predictability and reliability may make government contracts particularly appealing to investors, enhancing the financial security of companies that secure such agreements. The discussion underscores why investors may favor companies with successful government contract bids, highlighting the enhanced attractiveness and secure financial outlook these contracts provide.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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Understanding SEC Regulatory Requirements for New Securities

This episode delves into the regulatory requirements for registering a new security with the Securities and Exchange Commission (SEC). It covers the necessity for public companies to register under the Securities Act of 1933 unless an exemption applies, such as Regulation D for private placements. 

The discussion includes key aspects such as filing a registration statement, the review process by the SEC to ensure compliance, the detailed prospectus used by underwriters, and the associated filing fees. The registration process duration, which can span weeks to months depending on the complexity and SEC feedback, is also highlighted.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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The Evolution of Investor Relations: From PR to Strategic Finance Partner

In this episode, Peter discusses the significant changes in investor relations roles over the past few years. He explains how investor relations has transitioned from being primarily a communications and administrative role for the CFO to becoming a strategic finance partner with direct reporting to the CFO. 

Key insights from a recent survey are shared, showing that 69% of investor relations officers now report directly to the CFO, reflecting their increased executive and board exposure.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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Key Investor Relations Roles in Preparing for an IPO or Roadshow

This episode explores the crucial roles investor relations play when preparing for an IPO or roadshow. Key responsibilities include developing a compelling investment narrative that encompasses the company's business model, revenue strategies, market opportunities, and growth prospects. 

Additionally, creating an impactful roadshow deck that visualizes this narrative is essential. Finally, coaching management on delivering the story effectively to potential investors is emphasized as a critical factor for success.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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Seth 00:00:00  As you know that you've learned that you live that you know, when I speak to people in business starting out or even in, you know, college or college grads that I speak with, the number one asset that you can work on right now are the connections and relationship. I used to say Rolodex, but that definitely dates me. So it's the relationships.

Josh 00:00:19  Yeah, I remember the Rolodex, and you'd spin it and the cards would fly out back in the day. Old school right there.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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In this podcast episode, the discussion focuses on the concept of a "contract vehicle" in government contracting. 

Nicholas explains that a contract vehicle, often referred to as a GSA schedule, is a formal agreement with the government that allows for the procurement of goods and services at predetermined prices. Unlike a competitive Request for Proposal (RFP), a contract vehicle provides a pre-negotiated framework, simplifying the procurement process. 

This arrangement benefits contractors by offering long-term opportunities and visibility. The episode also explores the relevance of contract vehicles to investor relations, highlighting their importance in evaluating companies engaged in government contracting.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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Navigating Corporate Law: A Day in the Life of a Corporate Attorney

In this episode, Mike, a corporate attorney, shares his 'elevator pitch' and provides insight into his daily responsibilities. He describes his work with companies raising private or public capital, handling mergers and acquisitions, and dealing with a variety of business transactions.

Mike's day is filled with phone calls, reviewing documents like prospectuses and registration statements, and coordinating with the SEC and FINRA to ensure compliance and get necessary approvals. His work spans diverse financial activities, including IPOs, follow-ons, and SPACs.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

Let’s Connect on LinkedIn:

https://www.linkedin.com/in/joshuabrucewilson/

To Contact Us, Please Visit:

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Josh 00:00:00  In LinkedIn. There's the the personal profile which everybody has. And then there's sometimes there's a corporate profile or someone just types it in and it doesn't even point to a page or something or a page not found. What's the importance of having maybe a corporate and a personal and how do you leverage both?

Seth 00:00:17  I think you do need both. And you raise a good point where so many times there are dead links and it doesn't take you to the right place. So, you know, that's definitely something that I highly suggest people make sure are in working order. But you touched on a great point, because often people that we speak with say that I have a corporate profile, so I don't really need to work on my personal one. Let me just provide you with, you know, two very tangible takeaways that, answer this question. Number one is you would agree, people want to do business with people. They want to know the face behind the company. And so if I see a great corporate profile with good content, but it's just a logo, I'm not going to be as inclined to reach out to them and start a relationship, because I don't know who's behind it.

Seth 00:01:01  The personal profile, you can organically target the exact audience that you want to. So like, for example, I had a guy that was in the medtech world and had a brain, a brain device, and he wanted us to connect him to every neurosurgeon in the country. You can be very proactive as opposed to the corporate profile where you don't have that ability.

Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

Let’s Connect on LinkedIn:

https://www.linkedin.com/in/joshuabrucewilson/

To Contact Us, Please Visit:

https://www.theinvestorrelationspodcast.com/contact/