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Regulation A+: How the JOBS Act Creates Opportunities for Entrepreneurs and Investors by Robert R. Kaplan Jr., Dinesh Gupta, Paul M. Getty

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CHAPTER 6

Raising the Capital through an Underwriter

Chapter 4 discussed the use of portals and crowdfunding in the context of Reg A+. While these may be ultimately very effective methods to raise capital, they are yet to be proven, and questions remain as to whether they can drive traffic to their sites. Furthermore, for issuers looking to create liquidity, sources of market expertise are a must. Therefore, issuers must consider seriously the use of an underwriter in their offering process.

This chapter summarizes the roles and responsibilities of the underwriter in assisting a firm to raise capital and in setting the stage for successful post-offering share performance.

Underwriters, also known as investment banks, are firms or individuals ...

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