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Alternatives to Selling

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


New Sarbanes-Oxley Regulations

Your job is to build your business. Our job is to follow the ever-changing regulatory landscape and let you know what it means for you. These White Papers guide you to stay in compliance with the Sarbanes-Oxley regulations. If you’re unaware of what these new rules mean, you are in imminent danger of being de-listed!


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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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Board of Directors Analysis
The NASD will implement new Rules in the next year which will require outside board membership in or...
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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...
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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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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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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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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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Good Reasons to Sell a Great Company
Given the ever changing dynamics in a global economy, and daunting industry trends, some owners are ...
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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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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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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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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 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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Making Your Company SOXable: High-Impact Opportunities for Small Cap Companies
You may not have to comply with Sarbanes-Oxley yet, but it is on the horizon. There are many reason...
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Rule 144A: The Basics
Rule 144A provides a practical alternative for foreign companies desiring to raise capital in the US...
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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 ...
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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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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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Rule 13D
Rules governing Filing of Particular Schedules relevant to beneficial ownership....
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Overview of the M&A Process
Bank of America has done it. Donald Trump has too. So, too, have thousands of other companies. In fa...
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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...
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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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Reverse Split
Many companies trading on the OTCBB or Pink Sheets have used reverse stock splits. This financial st...
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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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Financial Techniques to Raise Capital
Companies that successfully raise capital most likely do so after completing a written business plan...
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SEC Filing Schedule
All fully reporting public companies, foreign and domestic, are required to file registration statem...
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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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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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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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Developing Financial Projections
You’re sitting in a meeting with investors eager to hear your pitch. You’ve got great industry exper...
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Officers & Directors Disclosure
For a basic overview of rules and regulations, disclosure laws, insiders and their SEC regulations –...
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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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Chief Financial Officer (CFO)
This four page document addresses managing the business, technology, development, marketing and fina...
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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...
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The Sarbanes-Oxley Act: Executive Responsibility
In July 2002, President Bush signed the Sarbanes-Oxley Act into law. Due in large part to unethica...
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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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The Importance of Compliance for SBIs
The impact of non-compliance is profound. While many small issuers can operate with inconsistent co...
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Analysis of Financial Statements
As a business owner or shareholder you constantly evaluate your firm's financials to determine the o...
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 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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