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Focus Financial Opens Door to Investment Banks

September 4, 2019, RIAIntel

Brian Rosenzweig spoke with RIAIntel about the continued need for registered investment advisers to file Form S-3 with the SEC. Mr. Rosenzweig says, “It is certainly customary for public companies to seek to file and declare a shelf registration statement as soon as they become shelf-eligible, which is typically one year after an IPO.” Companies routinely file so-called “universal shelf” registrations to begin the process of SEC approval for sales of shares, debt and other securities. “It gives them the flexibility if they decide to raise money and the ability to react quickly to opportunities or the company’s performance,” he adds.


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