Workflows

Primary Offering Workflow

Click the link above for Primary Offering Workflow to learn our process for engaging an issuer of securities in order to broker a capital raise, investment fund solicitation, or M&A transaction. This presentation covers the entire process from engagement of a new client to receipt of payment.

Secondary Trade Workflow

Click the link above for Secondary Trade Workflow to learn our process for engaging a seller or buyer of secondary market securities in order to broker a transaction for equity in late-stage pre-IPO companies. This presentation covers the entire process from engagement of a new client to receipt of payment.


Firm WSP

Written Supervisory Procedures

Click the link above to view the Written Supervisory Procedures of Rainmaker Securities (the "WSP"). The WSP includes a detailed explanation of all of the policies, procedures, and rules under which the firm operates.

Appendix to the WSP

Click the link above to view the Appendix to the WSP. The Appendix includes a list of all of the firm's branch offices, the branch office supervisors, and the registered representatives of each branch. It also includes details regarding how to comply with certain SEC offering exemptions used by the firm and its clients, as well as requirements regarding advertising materials, due diligence files, and firm communications.


FAQs

1. I forgot my password. Can you reset it?

Please contact Kirat Lall to reset your password.

2. Can I refer one of my contacts to become registered with Rainmaker Securities?

Yes, however we only allow a limited number of opening for registered representatives. They must have a clean regulatory history, established book of business, experience in investment banking or merchant banking, and willingness to put in the requisite time and effort towards the sale of securities on a day-to-day basis.

3. Do I need to run X or Y transaction through the broker-dealer?

If a transaction: (i) involves the sale of equity or debt securities, (ii) you are not the buyer or seller, and (iii) you are paid a fee contingent upon finding a buyer or seller for the transaction, then the transaction must be run through the broker-dealer. If you do not, you are out of compliance with government regulations and subject to substantial fines as well as suspension or termination of your FINRA licenses. To the extent Rainmaker Securities is punished for your violation, we reserve the right to seek indemnification from you personally through arbitration or litigation.

4. Where can I find a list of representatives registered with Rainmaker Securities along with biographies and contact information?

5. Why don't the securities offered by Rainmaker Securities need to be registered with the SEC?

All securities offered by Rainmaker Securities fall under an exemption from registration under the Securities Act of 1933. For primary offerings, we offer securities under the 506(b) or 506(c) offering exemptions of Regulation D. For secondary offerings, the transactions are exempt under a combination of Section 4(a)(1) and 4(a)(2), commonly known as Section 4(a)(1.5).

6. Can I invest in the initial public offering of Company X?

No. Broker-dealers, their agents, and any of the agent's family members are prohibited by law from investing in any initial public offering of securities.

7. Does Rainmaker Securities offer healthcare to its registered representatives?

Due to regulatory constraints and the financial implications of those constraints, Rainmaker Securities cannot provide healthcare to its independent contractors.

8. Who are the operations staff and what are their responsibilities?

Glen Anderson; President & CEO

  • Advisement and approval of economic terms
  • Advisement on closing securities transactions
  • Signatory for all firm engagements
  • Recruitment and brand ambassador
  • Deal connector and CRM management

Amy Boyet; Chief Compliance Officer

  • Advisement for escalated compliance issues
  • Securities offering FINRA compliance
  • Review and approval of outside business activities
  • Principal approval for distribution of securities offerings
  • Compliance training
  • Advertising review and approval
  • Financial and operations principal

Dominic Cioffi; General Counsel

  • Contract drafting
  • General legal advisement related to broker-dealer transactions
  • Securities offering SEC compliance
  • IT & data systems process engineer
  • Legal Due Diligence for securities offerings
  • Advisement on non-escalated compliance issues
  • Onboarding and registration of registered representatives
  • Financial and operations principal

Kirat Lall; Research Associate

  • Research reporting
  • AML/KYC Due Diligence
  • Financial modeling
  • Industry News Updates

Iggy Czerpak; Controller

  • Client invoicing
  • Account payable/receivable
  • general ledger
  • financial statements

9. When and where can I complete my FINRA continuing education examinations?

The operations staff will notify you when you are required to complete your continuing education examination. Typically, this will be the CE101 exam. The CE101 exam can be completed online at the following link:

FINRA Continuing Education Examination Login