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SB2 Filing Package
Alternatives to Selling

Due Diligence List

Negotiating and Closing

Capitalization Process and Model

Management Discussion and Analysis

Investor and Shareholder Protection

10-KSB Development Questionnaire

Independent Director

Sarbanes-Oxley Act

Asset Protection

D&O Insurance

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


Structuring Your Company

A catamaran and an ocean liner are both good boats – but one is much better suited to a shallow bay than the other. The way you structure your public company will determine how easy or hard it will be to stay in compliance and achieve your goals. These White Papers explain how to set up an entity designed to deftly navigate the public market you enter.


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Pitching a VC
This white paper will lay the foundation for entrepreneurs and small and medium companies with to di...
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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...
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$79.95 Add to Cart

Rule 13D
Rules governing Filing of Particular Schedules relevant to beneficial ownership....
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$5.95 Add to Cart

Sarbanes-Oxley: A Brush Stroke
With the passage of the Sarbanes-Oxley Act of 2002, the landscape for public companies as well as ac...
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$9.95 Add to Cart

NASDAQ / AMEX Comparison
The OTC Bulletin Board is a quotation service that displays real-time quotes, last-sale prices, and ...
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$19.95 Add to Cart

The Realities of the Google IPO
The portrait of Google by any estimation is one of American enterprise and ingenuity at its finest. ...
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$5.95 Add to Cart

Regulation FD
When Regulation FD went into effect, it effectively ended the confidential relationship management o...
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$9.95 Add to Cart

Hart Scott Changes Impact FPIs
The Federal Trade Commission has recently changed the exemption rules for foreign issuers. The rule...
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$9.95 Add to Cart

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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$29.95 Add to Cart

Rule 13D
Rules governing Filing of Particular Schedules relevant to beneficial ownership....
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$5.95 Add to Cart

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

Due Diligence List
Considering a transaction: joint venture, merger, acquisition, investment in a subsidiary, etc.? Bef...
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$29.95 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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$14.95 Add to Cart

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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$39.95 Add to Cart

Auditor and Director Independence per the Sarbanes-Oxley Act
As a result of increasing accounting and auditing fraud, the SEC has stated that the current supervi...
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$9.95 Add to Cart

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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$39.95 Add to Cart

Business Combination Accounting
This is a 21 p age PowerPoint overview of accounting acquisition nuances including:
The acquisi...
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$9.95 Add to Cart

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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$19.95 Add to Cart

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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$9.95 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

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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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

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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$5.95 Add to Cart

Convertible Securities - Death Spiral?
“Death spiral convertibles” have increasingly become a more popular form of financing for cash-stra...
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$89.95 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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$9.95 Add to Cart

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

Numbers Don't Lie: What Financial Statements Really Say About a Company
As you move forward with the sale of your business, prospective buyers will primarily focus on your ...
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$9.95 Add to Cart

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

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

Chief Financial Officer (CFO)
This four page document addresses managing the business, technology, development, marketing and fina...
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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...
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Job Ain’t Over Til The Paperwork is Done
Every company leaves a paper trail. It’s either a happy trail leading to a land filled with milk an...
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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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Naked Short Selling
While NASD Rule 3350, “The Short Rule”, protects stock issues by prohibiting short sales on a down b...
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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...
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$9.95 Add to Cart

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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SB2 Filing Package
If you’re listening to advice from someone who hasn’t taken 10 companies public already, you’re in a...
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$197.00 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

Alternatives to Selling
Is there a way, you wonder, to have your business support you and your family without running it unt...
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$59.95 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

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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$14.95 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

Merger & Acquisition Process
Selling your business will probably be the largest and most important transaction with which you are...
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$9.95 Add to Cart

Capitalization Process and Model
The purpose of this 6-page memorandum is to help officers, directors, and other managers interested ...
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$19.95 Add to Cart

Certification Rule 302
With the passage of the Sarbanes-Oxley Act (the “Act”) came many rules and revisions to rules that w...
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$9.95 Add to Cart

The 'Hows' and 'Whys' of Structuring M&A Transactions
After countless hours of mulling through financial statements and bargaining for every penny your bu...
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$39.95 Add to Cart

D&O Insurance
The escalation in the number of lawsuits already has driven premiums on D&O insurance up, and the ne...
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$5.95 Add to Cart

Requiring Small Businesses to Expense Stock Options
When large corporate scandals such as Enron and WorldCom were publicized in 2001, a great deal of ne...
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$29.95 Add to Cart

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

How can the OTCBB be used as a Stepping Stone to the AMEX and NASDAQ?
There are two trading systems that are separate from the National Market: the Over the Counter Bulle...
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$59.95 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

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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$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

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 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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$19.95 Add to Cart

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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$29.95 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

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 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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Interest on Stock Certificates
This brief but significant white paper of three pages covers a relatively new aspect of the money ma...
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$9.95 Add to Cart

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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$29.95 Add to Cart

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

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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$29.95 Add to Cart

Acquisition Financing
Selecting the sources of debt and equity financing for a potential acquisition is a critical step. T...
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$15.95 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

10b5 Plan
Insider trading prohibitions restrict executives and other insiders of public companies from trading...
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$9.95 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

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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$69.95 Add to Cart

Business Combination Accounting
This is a 21 p age PowerPoint overview of accounting acquisition nuances including:
The acquisi...
Full Details »

$9.95 Add to Cart

The Proxy Process
In July of 2003, the SEC announced that the staff of the Division of Corporation Finance had release...
Full Details »

$9.95 Add to Cart

Analysis of Financial Statements
As a business owner or shareholder you constantly evaluate your firm's financials to determine the o...
Full Details »

$9.95 Add to Cart

The Affordable IPO Alternative
"Going Public doesn't have to mean Going Broke."
Smaller businesses w...
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$129.99 Add to Cart

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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$29.95 Add to Cart

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

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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$49.95 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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$5.95 Add to Cart

Preparing to Operate in “Stealth” Mode
To operate with stealth means maintaining a low profile – giving no signal as to what your company i...
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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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