Qualified independent underwriters: a primer for the practitioner

Article Abstract:

Qualified independent underwriters (QIU) protect National Assn of Securities Dealers members from conflicts of interest when participating in public offerings of securities QIUs are required in certain transactions involving direct or affiliate distributions, proceeds directed to members, venture capital, or potential general investment conflicts of interest. QIU qualification requires industry and transaction experience, profitability, and no affiliate relationships or prior disciplinary actions. Responsibilities include pricing, due diligence, managing the offering, disclosure, and underwriting liabilities.

Analysis, Investment banks, Practice, Securities industry

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Qualified independent underwriters - a primer for the practitioner

Article Abstract:

The National Assn of Securities Dealers requires securities underwriters to use a Qualified independent Underwriter (QIU) schedule E when participating in a public offering of their securities to avoid a potential conflict of interest. The circumstances and criteria to be met for using a schedule E are discussed. The liability underwriters may face as a QIUs is also discussed.

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IPO road shows - a primer for the practitioner

Article Abstract:

Securities underwriters use trade shows to market initial public offerings. Such shows usually consist of several meetings between the underwriters and investors, portfolio managers, and securities sales personnel and analysts. Tips for conducting a road show are included.

Marketing, Securities, Trade shows

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