Selling Group Member

This is typically a Brokerage Firm or Investment Bank that helps distribute shares of an offering.

Spot Offering

“A type of Secondary Offering that is announced right after the market closes. The offering is usually priced and customers must place orders within a few hours. The shares are allocated before the market opens...


An investment bank that works with the Issuer to take it public.

Underwriting Syndicate

A group of Underwriters that have agreed to underwrite a portion of the offering but they will not lead or co-manage the offering.These Underwriters are listed on the bottom of the front page of the prospectus.

Withdrawal Period

On the effective date of an IPO or Marketed Secondary Offering, investors will be given at least a 60 minute window to cancel their COB. This is “one last chance” for an investor to cancel a COB. You can also w...

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