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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


Pink Sheets

Learn about the “first step” in the capital markets. The Pink Sheets offer many advantages to companies just “learning to walk” in the public arena: low costs of entry and maintenance, relaxed regulation, and access to investors. These White Papers will help you determine if the Pink Sheets are a good first step for you.


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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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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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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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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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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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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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Financial Techniques to Raise Capital
Companies that successfully raise capital most likely do so after completing a written business plan...
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The Nevada Advantage
Building a business from scratch is a tough job. As the pundits have quipped in the past, you'll wor...
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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...
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Rule 13D
Rules governing Filing of Particular Schedules relevant to beneficial ownership....
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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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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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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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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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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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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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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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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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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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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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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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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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SOX 404 and the Small Company: Working with the COSO Framework
Sarbanes-Oxley Section 404 requires the development of an accounting control framework for the purpo...
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Regulation FD
When Regulation FD went into effect, it effectively ended the confidential relationship management o...
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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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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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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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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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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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Foreign Issuer BOD & SOX Compliance
When the Securities and Exchange Commission applied Reg FD to domestic companies only, the internati...
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Business Combination Accounting
This is a 21 p age PowerPoint overview of accounting acquisition nuances including:
The acquisi...
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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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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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Pricing Your Company for Sale
Your prospective buyer has scrutinized your financials and you now find yourself sitting across from...
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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...
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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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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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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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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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Acquisition Financing
Selecting the sources of debt and equity financing for a potential acquisition is a critical step. T...
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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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NASDAQ / AMEX Comparison
The OTC Bulletin Board is a quotation service that displays real-time quotes, last-sale prices, and ...
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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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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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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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Chief Financial Officer (CFO)
This four page document addresses managing the business, technology, development, marketing and fina...
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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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$19.95 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

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

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

The Corporate Compliance Package
Now more than ever, public companies are scrambling to makes sense of the issues that confront them ...
Full Details »

$49.95 Add to Cart

Rule 13D
Rules governing Filing of Particular Schedules relevant to beneficial ownership....
Full Details »

$5.95 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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$14.95 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

SEC Announcements Boon to Small Biz
The Securities and Exchange Commission (SEC) made two major announcements in December 2007 that will...
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$29.95 Add to Cart

The Pink Sheets
The Pink Sheets is an Electronic Quotation Service (“EQS”) whose origins go back almost one hundred ...
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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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Business Plan Development Guide
Are you playing the funding game with prospective investors? Then you know the routine: Presentatio...
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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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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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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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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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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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Going Private: How does it work?
Most going private transactions are financed with borrowings banks or other institutions. In the typ...
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Equity Research Efficiency
Quality analyst coverage gives investors detailed information about a company and builds their confi...
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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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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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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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Pitching a VC
This white paper will lay the foundation for entrepreneurs and small and medium companies with to di...
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Avoiding Business Plan Mistakes
Dear Entrepreneur, Are you playing the funding game with prospective investors? Then you know th...
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Deregistration: Form 15
Notwithstanding the increased liability to officers under recent legislation, companies may elect to...
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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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$39.95 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

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

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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$29.95 Add to Cart

NASDAQ / AMEX Comparison
The OTC Bulletin Board is a quotation service that displays real-time quotes, last-sale prices, and ...
Full Details »

$19.95 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

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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$9.95 Add to Cart

Advisory Team
You've devoted countless hours, untold amounts of energy, and a great deal of money to building and ...
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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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