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On this episode of Off Road with Frank Ferraro, Frank and Andrea Cataneo sit down with capital markets veteran Seth Farbman — CEO, board member, and one of the most respected operators in the small-cap ecosystem.

If you’ve ever wondered:

👉 Who actually manages your cap table?
👉 Who protects shareholders behind the scenes?
👉 And where real deals get done (not just pitched)?

This conversation pulls back the curtain.

Seth explains why transfer agents are the “glue” of the public markets — quietly managing ownership records, safeguarding shareholder trust, and acting as the gatekeeper between issuers and investors. It’s one of the most critical — yet overlooked — functions in every IPO and public company.

But this episode goes beyond operations…

It turns into a masterclass on relationships, networking, and visibility in today’s capital markets.

As a board member of National Investment Bankers Association (NIBA), Seth shares why their conferences are different from the typical 5,000-person cattle call events — and why NIBA’s smaller, relationship-driven format consistently leads to real conversations, real partnerships, and real capital.

💡 Key themes include:

• Why transfer agents are essential to IPO success
• The real role of shareholder servicing
• How CEOs should think about conferences strategically
• Why most executives underutilize LinkedIn (huge missed opportunity)
• Building visibility before, during, and after events
• How relationships — not decks — close deals
• Why “Go Home Tired” is the only conference strategy that works

You’ll also hear:
✔ Stories from early Corporate Roadshow days
✔ Seth’s experience scaling multiple exits
✔ Behind-the-scenes insights from the NIBA board
✔ Practical tips for small-cap CEOs trying to raise capital

If you’re a CEO, IR pro, banker, service provider, or investor in the small-cap space — this is a must-listen playbook episode.


🎧 Connect with Seth

📩 Email: seth@vstocktransfer.com

🔗 LinkedIn: Reach out directly (he actually answers!)


🚀 About Off Road

Hosted by Frank Ferraro and Andrea Cataneo, Off Road features unfiltered conversations with the builders, operators, and connectors powering Wall Street and the small-cap markets.

New episodes weekly.

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👉 And if you’re attending or want to attend NIBA — Just reach out to us.

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Subscribe for new conversations on capital markets, innovation, and the future of business.

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In this episode of Off Road, Frank Ferraro and co-host Andrea Cataneo sit down with Emily Foshee, Executive Director of the National Investment Banking Association (NIBA) — the nonprofit organization that has quietly powered small-cap and growth company capital formation for nearly 50 years.

If you’re a CEO, founder, or public company executive trying to raise capital, meet investment bankers, or connect with real investors, this conversation breaks down where those relationships actually happen.

Not empty conference rooms.
Not random pitch events.
But curated, face-to-face meetings with bankers, family offices, private equity, and real check writers.

Emily shares how NIBA’s unique format — single-track presentations, one-on-one investor meetings, and a relationship-first culture — consistently helps companies secure financing and build long-term capital markets partnerships.

Frank also dives into:
💼 Why most investor conferences fail issuers
🤝 How syndication between banks is making a comeback
📈 What today’s small-cap CEOs must do differently to raise money
🎯 Who should attend NIBA (public, private, and growth companies)
🔥 And why the right room changes everything

If you’re serious about capital formation, this episode is your inside look at the conference where deals actually get done.

📍 Connect with Emily & NIBA

🌐 Website: https://www.nibanet.org

📧 General inquiries: info@nibanet.org

🔗 LinkedIn: Search Emily Foshee – NIBA or National Investment Banking Association (NIBA)

For presenting companies, sponsors, or attendee info, visit the NIBA site directly for conference details and registration.

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send us a text

In this episode of Off Road with Frank Ferraro, Frank sits down with longtime college football coach and author Jay Paterno for a candid conversation about leadership under pressure and the transformation of college athletics into big business.

Jay shares what he’s witnessed from inside major institutions — from NIL and the transfer portal to mental health challenges, donor influence, and the erosion of the traditional “student-athlete” model. Drawing from his new novel Blitz, he explains why today’s system is colliding with new incentives, new money, and very real consequences.

This is not a highlight-reel discussion.
It’s an inside look at how power, accountability, and economics are reshaping the future of college football.

🎧 Topics include:
• NIL and the business of college sports
• Mental health pressures on players and coaches
• Institutional politics and donor influence
• The future of college football and what must change

📘 Blitz is available on Amazon and major booksellers.
🌐 Learn more at jayvpaterno.com

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.