(Solution document) 1. What agencies regulate securities markets? 2. How are start-up firms usually financed?

1.     What agencies regulate securities markets?


2.     How are start-up firms usually financed?


3.     Differentiate between a private placement and a public offering.


4.     Why would a company consider going public? What are some advantages and disadvantages?


5.     What are the steps of an initial public offering?


6.     What criteria are important in choosing an investment banker?


7.     Would companies going public use a negotiated deal or a competitive bid?


8.     Would the sale be on an underwritten or best efforts basis?


9.     Without actually doing any calculations, describe how the preliminary offering range for the price of an IPO would be determined?


10. What is a roadshow? What is bookbuilding?


11. Describe the typical first-day returns of an IPO and the long-term returns to IPO investors.


12. What are the direct and indirect costs of an IPO?



13. What is meant by going private? What are some advantages and disadvantages?


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