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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... Full Details »
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$29.95 |
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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... Full Details »
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$9.95 |
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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... Full Details »
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$49.95 |
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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... Full Details »
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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... Full Details »
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$19.95 |
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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... Full Details »
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Maximizing the Price When Selling a Company The art of negotiation plays a pivotal role in buying or selling a business. Differences of opinion... Full Details »
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$39.95 |
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Officers & Directors Disclosure For a basic overview of rules and regulations, disclosure laws, insiders and their SEC regulations –... Full Details »
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Business Plan Development Guide Are you playing the funding game with prospective investors? Then you know the routine: Presentatio... Full Details »
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$59.95 |
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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... Full Details »
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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... Full Details »
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The Pink Sheets The Pink Sheets is an Electronic Quotation Service (“EQS”) whose origins go back almost one hundred ... Full Details »
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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... Full Details »
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$9.95 |
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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... Full Details »
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$9.95 |
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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... Full Details »
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Tender Offers The scope of Regulation 14E [Rules 14e-1 to 14f-1] was created to assist in providing legal paramete... Full Details »
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Convertible Securities - Death Spiral? “Death spiral convertibles” have increasingly become a more popular form of financing for cash-stra... Full Details »
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$89.95 |
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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... Full Details »
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Foreign Issuer BOD & SOX Compliance When the Securities and Exchange Commission applied Reg FD to domestic companies only, the internati... Full Details »
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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. ... Full Details »
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Valuation Techniques If you're trying to grow your company, you're facing a lot of questions about your company's value. ... Full Details »
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$14.95 |
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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... Full Details »
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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... Full Details »
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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 ... Full Details »
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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... Full Details »
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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... Full Details »
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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 ... Full Details »
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Due Diligence List Considering a transaction: joint venture, merger, acquisition, investment in a subsidiary, etc.? Bef... Full Details »
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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... Full Details »
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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... Full Details »
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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... Full Details »
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Current Trends in Financings and Transactions This 8 page tome is the only industry publication that incorporates both the track record and future... Full Details »
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$75.95 |
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Asset Protection Thousands of lawsuits are filed in this country every day of the week. If you are engaged in any bu... Full Details »
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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-... Full Details »
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Employee Benefits - Stock Options & Incentive Plans Equity compensa-tion (e.g., stock options) allows companies to leverage powerful financial incentive... Full Details »
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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... Full Details »
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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... Full Details »
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Independent Director This paper provides information on topics which are of interest and importance to non-executive dire... Full Details »
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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... Full Details »
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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 ... Full Details »
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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 ... Full Details »
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Advisory Team You've devoted countless hours, untold amounts of energy, and a great deal of money to building and ... Full Details »
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NASDAQ / AMEX Comparison The OTC Bulletin Board is a quotation service that displays real-time quotes, last-sale prices, and ... Full Details »
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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... Full Details »
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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... Full Details »
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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... Full Details »
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$69.95 |
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Separation & Release As a business owner or Human Resources Manager, you have decided to make some personnel changes. How... Full Details »
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The Corporate Compliance Package Now more than ever, public companies are scrambling to makes sense of the issues that confront them ... Full Details »
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$49.95 |
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Foreign Issuer BOD & SOX Compliance When the Securities and Exchange Commission applied Reg FD to domestic companies only, the internati... Full Details »
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Management Bandwidth for the IPO Are you thinking about taking your company public? If so, this is required reading for every member... Full Details »
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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... Full Details »
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$119.95 |
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Preferred Stock In the quest for understanding the value of corporate USA, the journey to determine value will event... Full Details »
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Research Effects on Community Bank Price Coverage Banking managers investing in analyst coverage to benefit shareholders expect results but does it wo... Full Details »
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Public to Private: Current Market Trends The number of public companies calling it quits and going private is increasing, just as the number ... Full Details »
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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 ... Full Details »
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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... Full Details »
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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... Full Details »
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Financial Techniques to Raise Capital Companies that successfully raise capital most likely do so after completing a written business plan... Full Details »
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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... Full Details »
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SEC Filing Schedule All fully reporting public companies, foreign and domestic, are required to file registration statem... Full Details »
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Lock Up Agreement If you are involved in any capital structure evaluation or recapitalization effort or contemplating... Full Details »
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Chief Financial Officer (CFO) This four page document addresses managing the business, technology, development, marketing and fina... Full Details »
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Reverse Mergers: Pitfalls and Alternatives Many middle-market businesses ($1 million-$25 million) have used reverse mergers as a perceived low-... Full Details »
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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)... Full Details »
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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... Full Details »
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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... Full Details »
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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... Full Details »
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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... Full Details »
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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... Full Details »
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Note Purchase Agreement If you are selling your company or contemplating buying all or a piece of another, the 11-page ample... Full Details »
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Convertible Promissory Note If your firm is involved in a situation requiring a Note Purchase Agreement, do you know the standar... Full Details »
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Think Like a Banker -- Collateral Assessment Collateral is needed in order to obtain financial loans from banks as well as other debt nstrments f... Full Details »
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The Spin Zone Spin-offs occur very frequently for a reason. They can unlock substantial value for shareholders of ... Full Details »
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S-8 Incentive Compensation Small public companies need to conserve cash to fuel their growth; they tend to avoid compensation p... Full Details »
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Management Discussion and Analysis The Management Discussion and Analysis (“MD&A”) section of quarterly and annual financial statements... Full Details »
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The Kitchen Sink: Miscellaneous Operational/Engineering Concerns This white paper introduces management teams to best practices for conducting site audit, supplier m... Full Details »
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