Chapter 13. The Public Offering Process

CHAPTER OVERVIEW

This chapter views the process of raising capital in the public market. The chapter describes the selection of the IPO teams, the roles of each one of the teams, and in particular the underwriters.

Stock Markets in the United States

One of the first decisions which a company has to make after deciding to embark on an IPO is in which market its shares will be listed for trade. There are two main types of securities markets: a stock exchange or over-the-counter (OTC) trading. The main stock exchange in the United States is the New York Stock Exchange (NYSE). Another large stock exchange is the American Stock Exchange (AMEX), and there are also several smaller regional and specialized stock exchanges. ...

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