News : corporate-governance-disclosure

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.

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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.

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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. 

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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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Hunter Taubman Fischer & Li LLC Represents Dragon Victory International Limited for its Initial Public Offering and Listing on NASDAQ Capital Market

October 19, 2017

HANGZHOU, China, October 19, 2017 – Dragon Victory International Limited, a company that offers reward-based crowdfunding opportunities and quality incubation services to entrepreneurs in China, announced the closing of its initial public offering (the “IPO”) on September 15, 2017, of 1,421,394 ordinary shares at $6.00 per share, raising a total of $8,528,363 in gross proceeds before expenses, underwriting discount and commissions. The Company also announced today that its ordinary shares will commence trading on The NASAQ Capital Market on October 20, 2017, under the ticker symbol “LYL.”  Boustead Securities, LLC, acted as the lead underwriter for the IPO, and Network 1 Financial Securities, Inc. acted as the co-underwriter.

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