News

Louis Taubman, Managing Partner of Hunter Taubman Fischer & Li to Moderate Panel Discussion at the Deal Flow Events Reg A Conference on May 9, 2019

May 07, 2019

HTFL has been a leader in advising issuers, underwriters and investors in the use of Regulation A (Reg A), which was implemented as part of the Jumpstart Our Business Startups (JOBS) Act.  In June 2017, HTFL represented TriPoint Global Equities, LLC, and its online division BANQ® (www.banq.co) in their role as lead managing selling agent and bookrunner in the first Reg A plus IPO on the New York Stock Exchange (NYSE) and since that time the firm has participated in several Reg A IPOs on the Nasdaq and OTC Markets.  HTFL has been instrumental in providing sound counsel to issuers and underwriters as they navigate the securities laws and in their interaction with  the SEC, FINRA, NASDAQ and the NYSE.

SEC ADOPTS AMENDMENTS TO MODERNIZE AND SIMPLIFY REGULATION S-K

April 09, 2019

On March 20, 2019, the Securities and Exchange Commission (“SEC”) adopted amendments to simplify disclosure requirements under Regulation S-K for companies and investment advisors. These amendments are intended to improve the readability and navigability of SEC documents and to discourage disclosure of immaterial information. The final amendments include approximately 30 changes. The summary below highlights their key aspects.

HTFL’s Client PowerBridge Technologies Co., Ltd. Successfully Closes its IPO of USD $8.75 Million

April 05, 2019

Powerbridge Technologies Co., Ltd. (the “Company”) (Nasdaq: PBTS), a global trade software application and technology services provider, today announced the closing of the initial public offering (“IPO”) of 1,750,000 ordinary shares, par value $0.00166667 per share, at a price of $5.00 per share. The Company’s ordinary shares began trading on the Nasdaq Capital Market on April 2, 2019 under the symbol “PBTS.”

Congratulations to HTFL’s Client Boustead Securities, LLC on Closing Soliton, Inc.’s IPO of USD$10.4 Million

February 19, 2019

This Valentine’s Day, our client Boustead Securities, LLC, acting as the sole underwriter, completed the initial public offering (the “Offering”) of Soliton, Inc. (the "Company")  a pre-revenue stage medical device company with a proprietary platform technology licensed from The University of Texas on behalf of the MD Anderson Cancer Center. The Company raised approximately $10.4 million in gross proceeds from this initial closing, before deducting underwriting commissions and other offering expenses, by issuing 2,086,391 ordinary shares at a public offering price of $5.00 per share. Soliton has been approved to begin trading its shares on the Nasdaq Capital Market under the symbol ”SOLY” on Tuesday February 19, 2019.  The Offering is the first IPO using Tier II of Regulation A to be completed on Nasdaq or NYSE in over one year.

News

Guidelines for Public Companies during the Federal Government Shutdown

January 13, 2019

In light of the federal government shutdown commencing on December 22, 2018, the U.S. Securities and Exchange Commission (“SEC”) remains leanly staffed. This has caused delay in staff’s review of registration statements and other filings, and the SEC will not be able to declare any registration statements effective during the shutdown. Nevertheless, regardless of the SEC’s operational status, EDGAR will still accept filings.

News

First Nasdaq IPO of 2019: Boustead Client China SXT Pharma Up 43% in SXTC’s Debut After USD$10.2 Million Funding

January 09, 2019

HTFL’s Client China SXT Pharmaceuticals, Inc. (the "Company") (NASDAQ: SXTC), a specialty pharmaceutical company focusing on the research, development, manufacture, marketing and sales of Traditional Chinese Medicine Pieces ("TCMPs"), announced the final closing of its initial public offering on January 3, 2019. Together with the first closing on December 31, 2018, the Company raised approximately $10.2 million in gross proceeds, before deducting underwriting discounts, commissions and other offering expenses, by issuing 2,546,275 ordinary shares at a public offering price of $4.00 per share. 

Louis Taubman, Managing Partner of Hunter Taubman Fischer & Li to Moderate Panel Discussion at the Deal Flow Events Reg A Conference on June 12, 2018

June 01, 2018

NEW YORK, NY, , June 01, 2018 (GLOBE NEWSWIRE) -- Hunter Taubman Fischer & Li , LLC (HTFL) announced today that its Managing Partner, Louis Taubman, will moderate a panel at The Deal Flow Events Reg A Conference on June 12, 2018 in New York City.  The Panel, titled “The State of Reg A,” will discuss the benefits of the Regulation A Improvement Act of 2017, current market conditions and the future of Security Token Offerings (STOs), also known as Internet Coin Offerings (ICOs), using Reg A. 

News

HTFL Advised China Sunlong Environmental Technology, Inc. in its Business Combination with SPAC and Listing on Nasdaq

February 28, 2018


China Sunlong Environmental Technology, Inc. (“Sunlong”) has recently successfully consummated a business combination with JM Global Holding Company (“JM Global”), a Special Purpose Acquisition Company (SPAC). The post-merger Company changed its name to TMSR Holding Company Limited, and continues to be listed on Nasdaq. TSMR’s wholly owned subsidiaries include Hubei Shengrong Environmental Protection Energy-Saving Science and Technology Co. Ltd. and Tianjin Commodity Exchange Co., Ltd. 

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