How SEC regulates stock market?

Securities and Exchange Commission (SEC) is independent U.S federal agency that regulates the stock market. It was created in 1934 by Congress to help restore investor confidence after the 1929 stock market crash. The Securities Exchange Act of 1934 was created by Securities and Exchange Commission. It govern securities transaction on the secondary market relying on Securities Act of 1933 which increased transparency in financial  statements and  established  laws against fraudulent activities. In essence SEC provides transparency by ensuring accurate and consistent information about companies that allows investors to make informed and sound decisions. Without transparency stock market would be vulnerable to market speculation and creation of asset bubbles. 


Securities and Exchange Commission has five commissioners and five different divisions:
Division of corporate finance – review corporate filing requirements ensuring that investors have complete and accurate information on company’s financial health that will help them make the best decision.
Division of investment management – regulates investment companies, variable insurance products and federally registered investment advisers. It also oversees The Securities Investor Protection Corporation (SIPC) that insures investment accounts in case that brokerage firm goes bankrupt.
Division of Enforcement – enforces SEC regulations by investigating and prosecuting violations of securities laws and regulations.
Division of Trading and Market – establishes and maintains standards that regulate the stock market. It oversees securities firms and exchanges as well as industry’s self regulatory organizations.
Division of Economic and Risk Analysis – economic data and risk analysis to other division in order to integrate them in the core mission of SEC. This division predicts how proposed rules would affect market.


United States stock market is one of the most regulated markets in the world with high level of transparency which attracts many business to the United States. SEC’s monitoring of exchanges and all organizations connected with selling of securities has a big role in creating such highly regulated market. It is fairly easy to take your company public in the U.S which helps companies grow larger at a faster rate. By conducting research in financial literacy SEC found out that average investor doesn’t poses enough knowledge about the way market and economy function. That is the reason why SEC is so protective of ordinary, non-accredited investors through its regulations. It makes safe for average investor to buy stocks, bonds or mutual funds by regulating sale of those securities and providing investors with information that will help them make investing decisions.

Roll-ups and Acquisitions

Mina Mar Group has created a roll-up fund and subsequent processes designed for companies that wish to grow via acquisition. If you have a company with an acquisition strategy, please contact us right away so we may begin discussions to determine if you are a fit for our program. If so, Mina Mar Group will take care of all of the costs, including raising capital. Please read the information below for our program highlights:

1. SEC and Other Filings: Mina Mar Group will handle all necessary document requests and filings including completely developing and submitting all SEC documents such as S-1 registration statements, Edgar forms and filings, FINRA (such as form 211) submissions and more.

2. Legal Compliance: Mina Mar Group maintains a staff of in -house attorneys and paralegals that ensure the entire process remains compliant with all governmental agencies.

3. Public Shells: Mina Mar Group has an inventory of legal and verified public shells which are made available to our clients for reverse mergers in order to provide a publicly traded vehicle in order to raise capital.

4. Distribution and Fundraising: Mina Mar Group works with top investor relations firms who are charged with effectively raising capital for our projects. Mina Mar Group manages these firms through the process to ensure the maximum capital is raised.

5. Institutional Investors: We have very strong relationships with some of the largest institutional investment funds in the US. We can assist with raising capital for debt or equity.

6. Broker Dealers: Our team of licensed professionals can provide our clients with a turnkey broker/dealer, registered with FINRA and at least two clearing houses. We can re-structure books of business and assist with financing.

7. Proven Process: MMG’s partners have successfully raised capital for more than 160 different companies. Our proprietary 32 step plan ensures that our clients invest a minimal amount of time in order to complete the entire IPO process. We enable our clients to remain focused on building their existing business while the IPO process is underway.

investorrelations.mmg@gmail.com

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IPO — Mina Mar Group

IPO

MMG’s unique strategy ensures that our clients invest a minimal amount of time in order to complete the entire IPO process. We enable our clients to remain focused on building their existing business while the IPO process is underway.

Mina Mar Group team will help guide you through the IPO registration process and help you address the critical steps that are needed throughout the IPO — and beyond.

Private Equity

Many of our clients who wish to go public also need private equity financing along way.

Even though our IPO process only takes between four and six months, companies need operating capital in order to continue building their businesses while waiting for the various IPO processes such as the SEC, FINRA, market makers and more.

MMG can help raise private equity via a private placement memorandum (PPM) while our clients are in the IPO process. We will work with your investors to help bring in capital to fuel your business. Our team of analysts will write private placement memorandums and help you structure your company in order to raise between $1 million and $5 million via private equity.

Our clients tell us that this two-step process of raising private capital and then raising capital and public markets is a viable alternative to traditional venture and angel rounds of financing. We find that it is easier to help our clients raise private equity with an eminent IPO versus traditional angel or venture financing where liquidity may be 3 to 5 years away. If you’re interested in discussing how we can help you raise private capital while you are in the process of going public, please contact us right away.

minamargroup.com

investorrelations.mmg@gmail.com

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