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8 Tips to Speed the Process of Going Public Package
Negotiating and Closing

Due Diligence List

Capitalization Process and Model

Management Discussion and Analysis

Investor and Shareholder Protection

10-KSB Development Questionnaire

Independent Director

The Sarbanes-Oxley Act: Executive Responsibility

Sarbanes-Oxley: A Brush Stroke

The Affordable IPO Alternative

Regulation FD

Officers & Directors Disclosure

D&O Insurance

The Sarbanes-Oxley Act: Code of Ethics and Audit Committee Requirements

Certification Rule 302


Taking a Foreign Company Public

Looking to enhance your international presence?

The appeal of US market exposure is more attainable than you might think. While other international markets offer unique and important exposure, the consumer and trading power offered through the venue of US markets is unparalleled.

There are many good reasons for your non-US company to gain the ability to trade on US Capital Markets. Advantages include:

  • help you become acquired
  • give you legitimacy if you sell products in the US.
  • enable your shareholders to sell stock in the US
  • satisfy customers who insist you trade publicly before they will place large orders

If you're ready to get started, go to our Foreign Company Listing. If not, then read on.

Our team members (as related services) and I have worked with over 150 companies during the last 15 years. We've written over 100 white papers pertaining to public, private, domestic, and foreign companies. Here's a short list of some white papers which you may find revolutionize your thinking. Click Here to learn more.


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Marshalling the Forces: The Lineup Card
A quarterback loses efficacy if he’s surrounded by butter fingered receivers. So also a company ca...
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The Proxy Process
In July of 2003, the SEC announced that the staff of the Division of Corporation Finance had release...
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$9.95 Add to Cart

A Chancery Court for Nevada: Definition, Costs, and Benefits
The paper defines how a chancery court differs from a common law court and from business courts, and...
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$49.95 Add to Cart

The Sarbanes-Oxley Act: Code of Ethics and Audit Committee Requirements
Within the Sarbanes-Oxley Act (the “Act”) of 2002, Sections 406 and 407 lay out new requirements reg...
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Bridge Over Troubled Water: The in’s and out’s of Bridge Loans
Bridge financing often is perceived to be a viaduct to victory valley when in fact it’s a direct rou...
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Investor and Shareholder Protection
It is a myth that shareholders can do little to mitigate their risk other than diversifying their po...
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$9.95 Add to Cart

Maximizing the Price When Selling a Company
The art of negotiation plays a pivotal role in buying or selling a business. Differences of opinion...
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$39.95 Add to Cart

Officers & Directors Disclosure
For a basic overview of rules and regulations, disclosure laws, insiders and their SEC regulations –...
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$19.95 Add to Cart

Business Plan Development Guide
Are you playing the funding game with prospective investors? Then you know the routine: Presentatio...
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$59.95 Add to Cart

Fairness Opinion or Valuation: Does one size fit all
During the last decade, there was an overall increase in the number of transactions including merger...
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$9.95 Add to Cart

New Rulings Pertaining to Items 11 and 12 of Form 8-K
The Securities and Exchange Commission has issued a new ruling regarding the filing of information w...
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The Pink Sheets
The Pink Sheets is an Electronic Quotation Service (“EQS”) whose origins go back almost one hundred ...
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American Depository Receipts
An American Depository Receipt, or “ADR,” is a form of equity ownership of a non-U.S. company. It i...
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Investor and Shareholder Protection
It is a myth that shareholders can do little to mitigate their risk other than diversifying their po...
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$9.95 Add to Cart

SOX 404 and the Small Company: Planning for Compliance
Section 404 of the Sarbanes-Oxley Act of 2002 deals with the development and testing of internal con...
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$49.95 Add to Cart

Tender Offers
The scope of Regulation 14E [Rules 14e-1 to 14f-1] was created to assist in providing legal paramete...
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Convertible Securities - Death Spiral?
“Death spiral convertibles” have increasingly become a more popular form of financing for cash-stra...
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Getting Prepared for the Emotional Rollercoaster of Going Public
Much has been written on the legal and technical side of going public. This paper does not intend t...
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Foreign Issuer BOD & SOX Compliance
When the Securities and Exchange Commission applied Reg FD to domestic companies only, the internati...
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$9.95 Add to Cart

How to Research Your Management or Director’s Background
With the passage of the Sarbanes-Oxley Act publicly traded companies have faced much more scrutiny. ...
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$9.95 Add to Cart

Valuation Techniques
If you're trying to grow your company, you're facing a lot of questions about your company's value. ...
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8 Tips To Speed the Process of Going Public
You’ve decided to take the plunge and take your company public! You call your lawyer, talk to a coup...
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SOX and Technology: Transferring the Burden of Compliance
The advantages of software on demand extend beyond ease of implementation and operational efficiency...
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What is the “E” All About
Have you ever seen a Ticker Symbol with more than four characters? Wondered what that fifth letter ...
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Policies: Preparing for the “fillet”
Often just like defendants, much less victims in many cases, aren’t quite ready for the character an...
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Equity Buy-Backs
Buy-back is a term which may not be clear to small company management or shareholders of significan...
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The Nevada IPO Alternative for Small Business Entities
You don’t have to be rich to start your own company. In fact, about 17% of all businesses now worth ...
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Due Diligence List
Considering a transaction: joint venture, merger, acquisition, investment in a subsidiary, etc.? Bef...
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Rules, Rules: To Err is Human; to Forgive, Divine -- Not Characteristic of Regulators.
Before the lights on the marquee start flickering, companies really need to assess the projected cos...
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Profit vs. Cash Flow: Healthy profits but anemic – Diagnosis is money squeeze.
Having adequate cash flow is essential to keep a business running. If your company runs out of avail...
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10-KSB Development Questionnaire
The annual 10-KSB filing is required to contain more detailed information than your quarterly 10-QSB...
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$9.95 Add to Cart

Current Trends in Financings and Transactions
This 8 page tome is the only industry publication that incorporates both the track record and future...
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$75.95 Add to Cart

Asset Protection
Thousands of lawsuits are filed in this country every day of the week. If you are engaged in any bu...
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$194.99 Add to Cart

Valuing a Public to Private Deal
The move from public to private is not a fire sale. Nor is it a return to the hostile leveraged buy-...
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Employee Benefits - Stock Options & Incentive Plans
Equity compensa-tion (e.g., stock options) allows companies to leverage powerful financial incentive...
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State Blue Sky Issues
The Standard & Poor's Market Access Program ensures that key information about a company is always a...
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SOX 404: A Primer
You have probably heard a lot about The Sarbanes-Oxley Act, legislation passed in 2002 to strengthen...
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Independent Director
This paper provides information on topics which are of interest and importance to non-executive dire...
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Trading OTCBB: Understanding the Landscape
In connection with the SEC's approval of NASD Rule 6540 allowing ECNs/ATSs to display their best bid...
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Financial Fraud: Big League vs. Little League
History and each endeavor by man must balance the diabolical with the divine. There exists a common ...
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Decisions, decisions, decisions: Making Good Decisions about Important Issues during Your Company’s IPO
Like building a new house, the pre-IPO process is wrought with decisions. And they come not by the ...
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Advisory Team
You've devoted countless hours, untold amounts of energy, and a great deal of money to building and ...
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NASDAQ / AMEX Comparison
The OTC Bulletin Board is a quotation service that displays real-time quotes, last-sale prices, and ...
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Financing with Venture Capital: Seller Beware
Why Venture Cap can be a Venture Trap
In some ways it’s even easier to launch a business...
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Sarbanes-Oxley and Antifraud: Does Section 404 Help Small Companies?
The deadline for Sarbanes-Oxley compliance is approaching small businesses rapidly. While it looks l...
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An Overview of State Blue Sky Laws
Sole proprietorships have the greatest exposure for the business owner, who is responsible for suppl...
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Separation & Release
As a business owner or Human Resources Manager, you have decided to make some personnel changes. How...
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$9.95 Add to Cart

The Corporate Compliance Package
Now more than ever, public companies are scrambling to makes sense of the issues that confront them ...
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$49.95 Add to Cart

Foreign Issuer BOD & SOX Compliance
When the Securities and Exchange Commission applied Reg FD to domestic companies only, the internati...
Full Details »

$9.95 Add to Cart

Management Bandwidth for the IPO
Are you thinking about taking your company public? If so, this is required reading for every member...
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$79.95 Add to Cart

Sourcing Deals in Today’s Market: Financial Buyers
As a company looking for funding, you probably have a list of questions a mile long. This white pap...
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Preferred Stock
In the quest for understanding the value of corporate USA, the journey to determine value will event...
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$14.95 Add to Cart

Research Effects on Community Bank Price Coverage
Banking managers investing in analyst coverage to benefit shareholders expect results but does it wo...
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$9.95 Add to Cart

Public to Private: Current Market Trends
The number of public companies calling it quits and going private is increasing, just as the number ...
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Sarbanes-Oxley Act
Included in this three-page white paper are some HIGHLIGHTS OF THE SARBANES-OXLEY ACT OF 2002 which ...
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$9.95 Add to Cart

Regulation S
Reg. S is a complex set of regulations and should only be used when advised by counsel with signific...
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$9.95 Add to Cart

Metrics: Non-numerical Critical Success Factors in Pre-public Companies
When taking a private company to the public, it’s often not what management says about the numbers b...
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$29.95 Add to Cart

Financial Techniques to Raise Capital
Companies that successfully raise capital most likely do so after completing a written business plan...
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Primer on Pricings of IPO’s
The intended result of this 13 page white paper is to briefly outline the IPO process and to enhance...
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$19.95 Add to Cart

SEC Filing Schedule
All fully reporting public companies, foreign and domestic, are required to file registration statem...
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$9.95 Add to Cart

Lock Up Agreement
If you are involved in any capital structure evaluation or recapitalization effort or contemplating...
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$9.95 Add to Cart

Chief Financial Officer (CFO)
This four page document addresses managing the business, technology, development, marketing and fina...
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$9.95 Add to Cart

Reverse Mergers: Pitfalls and Alternatives
Many middle-market businesses ($1 million-$25 million) have used reverse mergers as a perceived low-...
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$69.95 Add to Cart

The OTCBB – What it is, How it Works, and Why you Should be on it
What is the Over-the-Counter Bulletin Board?
The Over-the-Counter Bulletin Board (OTCBB)...
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How Can My Company Trade on the US Markets?
The United States Securities and Exchange Commission (SEC) imposes a significantly reduced regulator...
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SOX 301 & OTC Stocks: A Look at SOX for Small Businesses
Section 301 of the Sarbanes-Oxley Act of 2002 addresses the board of directors’ audit committee spec...
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Regulation S
Reg. S is a complex set of regulations and should only be used when advised by counsel with signific...
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$9.95 Add to Cart

Value Indicators for Intangible Oriented Companies
Thinking about how your company will be valued by those with big bucks? If you have a public compan...
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The Best Offense is a Good Defense: Due Diligence Defense
The landscape for private companies is so radically different than that of the public arena. Compan...
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$29.95 Add to Cart

Note Purchase Agreement
If you are selling your company or contemplating buying all or a piece of another, the 11-page ample...
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$9.95 Add to Cart

Convertible Promissory Note
If your firm is involved in a situation requiring a Note Purchase Agreement, do you know the standar...
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$9.95 Add to Cart

Think Like a Banker -- Collateral Assessment
Collateral is needed in order to obtain financial loans from banks as well as other debt nstrments f...
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$39.95 Add to Cart

The Spin Zone
Spin-offs occur very frequently for a reason. They can unlock substantial value for shareholders of ...
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$9.95 Add to Cart

S-8 Incentive Compensation
Small public companies need to conserve cash to fuel their growth; they tend to avoid compensation p...
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$9.95 Add to Cart

Management Discussion and Analysis
The Management Discussion and Analysis (“MD&A”) section of quarterly and annual financial statements...
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$9.95 Add to Cart

The Kitchen Sink: Miscellaneous Operational/Engineering Concerns
This white paper introduces management teams to best practices for conducting site audit, supplier m...
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$29.95 Add to Cart





 CAPITAL MARKETS
   Pink Sheets
   OTCBB

 BASIC BUSINESS SAVVY
   Advanced Financial Topics

 GOING PUBLIC
   Steps in the Process
   Requirements of Public Companies
   Tools & Templates
   Specialists

 REPORTING & COMPLIANCE
   Staying in SEC Compliance
   New Sarbanes-Oxley Regulations
   Structuring Your Company
   Tools & Templates

 GETTING FUNDING
   Preparing Your Business
   Finding Investors
   Pitching Investors

 FOREIGN COMPANIES
   Taking a Foreign Company Public

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