There’s no point in spending the time and money to get a ticker symbol if you can’t keep it. Many companies are in a constant state of “compliance limbo,” disappearing and reappearing just because they can’t get their quarterly statements done right. The White Papers in this section show you what you need to produce to stay in SEC compliance, and how to systematize your reporting so it doesn’t turn into a bureaucratic nightmare.

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Topic	Price
Business Combination Accounting This is a 21 p age PowerPoint overview of accounting acquisition nuances including: The acquisi... Full Details »	$9.95
Note Purchase Agreement If you are selling your company or contemplating buying all or a piece of another, the 11-page ample... Full Details »	$9.95
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 »	$39.95
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 »	$9.95
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 »	$5.95
Lock Up Agreement If you are involved in any capital structure evaluation or recapitalization effort or contemplating... Full Details »	$9.95
Market Makers Market Makers are keenly aware that their firm uses its own capital, research, retail and/or systems... Full Details »	$9.95
Certification Rule 302 With the passage of the Sarbanes-Oxley Act (the “Act”) came many rules and revisions to rules that w... Full Details »	$9.95
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 »	$29.95
Preferred Stock In the quest for understanding the value of corporate USA, the journey to determine value will event... Full Details »	$14.95
Financial Techniques to Raise Capital Companies that successfully raise capital most likely do so after completing a written business plan... Full Details »	$49.95
Cross Border IPOs When a foreign company decides to expand its horizons and wants to go public in the United States, t... Full Details »	$49.95
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... Full Details »	$59.95
Interest on Stock Certificates This brief but significant white paper of three pages covers a relatively new aspect of the money ma... Full Details »	$9.95
Negotiating and Closing Negotiation and closing are critical business skills, and central to the SB-2 process - yet, many o... Full Details »	$19.95
Asset Protection Thousands of lawsuits are filed in this country every day of the week. If you are engaged in any bu... Full Details »	$194.99
Exit Strategies: Proactive vs. Reactive Picture this: Your company is an early-stage startup with a strong customer base and traction in the... Full Details »	$79.95
S-8 Incentive Compensation Small public companies need to conserve cash to fuel their growth; they tend to avoid compensation p... Full Details »	$9.95
Sarbanes-Oxley: A Brush Stroke With the passage of the Sarbanes-Oxley Act of 2002, the landscape for public companies as well as ac... Full Details »	$9.95
10b5 Plan Insider trading prohibitions restrict executives and other insiders of public companies from trading... Full Details »	$9.95
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... Full Details »	$9.95
Management Discussion and Analysis The Management Discussion and Analysis (“MD&A”) section of quarterly and annual financial statements... Full Details »	$9.95
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 »	$29.95
Reverse Split Many companies trading on the OTCBB or Pink Sheets have used reverse stock splits. This financial st... Full Details »	$89.95
Employee Benefits - Stock Options & Incentive Plans Equity compensa-tion (e.g., stock options) allows companies to leverage powerful financial incentive... Full Details »	$39.95
Naked Short Selling While NASD Rule 3350, “The Short Rule”, protects stock issues by prohibiting short sales on a down b... Full Details »	$19.95
The Sarbanes-Oxley Act: Executive Responsibility In July 2002, President Bush signed the Sarbanes-Oxley Act into law. Due in large part to unethica... Full Details »	$9.95
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 »	$39.95
Regulation FD When Regulation FD went into effect, it effectively ended the confidential relationship management o... Full Details »	$9.95
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 »	$29.95
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 »	$29.95
The Realities of the Google IPO The portrait of Google by any estimation is one of American enterprise and ingenuity at its finest. ... Full Details »	$5.95
Market Makers Market Makers are keenly aware that their firm uses its own capital, research, retail and/or systems... Full Details »	$9.95
Business Plan Development Guide Are you playing the funding game with prospective investors? Then you know the routine: Presentatio... Full Details »	$59.95
Regulation FD When Regulation FD went into effect, it effectively ended the confidential relationship management o... Full Details »	$9.95
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 »	$9.95
Pitching a VC This white paper will lay the foundation for entrepreneurs and small and medium companies with to di... Full Details »	$39.95
Deregistration: Form 15 Notwithstanding the increased liability to officers under recent legislation, companies may elect to... Full Details »	$9.95
Board of Directors Analysis The NASD will implement new Rules in the next year which will require outside board membership in or... Full Details »	$9.95
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 »	$49.95
10-KSB Development Questionnaire The annual 10-KSB filing is required to contain more detailed information than your quarterly 10-QSB... Full Details »	$9.95
Advisory Team You've devoted countless hours, untold amounts of energy, and a great deal of money to building and ... Full Details »	$9.95
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 »	$29.95
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
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 »	$29.95
The 'Hows' and 'Whys' of Structuring M&A Transactions After countless hours of mulling through financial statements and bargaining for every penny your bu... Full Details »	$39.95
The Importance of Compliance for SBIs The impact of non-compliance is profound. While many small issuers can operate with inconsistent co... Full Details »	$29.95
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 »	$49.95
Separation & Release As a business owner or Human Resources Manager, you have decided to make some personnel changes. How... Full Details »	$9.95
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 »	$119.95
Advisory Team You've devoted countless hours, untold amounts of energy, and a great deal of money to building and ... Full Details »	$9.95
10b5 Plan Insider trading prohibitions restrict executives and other insiders of public companies from trading... Full Details »	$9.95
Sarbanes-Oxley Act Included in this three-page white paper are some HIGHLIGHTS OF THE SARBANES-OXLEY ACT OF 2002 which ... Full Details »	$9.95
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 »	$9.95
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 »	$75.95
Equity Research Efficiency Quality analyst coverage gives investors detailed information about a company and builds their confi... Full Details »	$9.95
Merger & Acquisition Process Selling your business will probably be the largest and most important transaction with which you are... Full Details »	$9.95
How Can My Company Trade on the US Markets? The United States Securities and Exchange Commission (SEC) imposes a significantly reduced regulator... Full Details »	$29.95
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 »	$49.95
Due Diligence List Considering a transaction: joint venture, merger, acquisition, investment in a subsidiary, etc.? Bef... Full Details »	$29.95
Investor and Shareholder Protection It is a myth that shareholders can do little to mitigate their risk other than diversifying their po... Full Details »	$9.95
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... Full Details »	$29.95
The Pink Sheets The Pink Sheets is an Electronic Quotation Service (“EQS”) whose origins go back almost one hundred ... Full Details »	$19.95
Rule 144A: The Basics Rule 144A provides a practical alternative for foreign companies desiring to raise capital in the US... Full Details »	$29.95
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 ... Full Details »	$9.95
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 »	$29.95
Convertible Promissory Note If your firm is involved in a situation requiring a Note Purchase Agreement, do you know the standar... Full Details »	$9.95
Alternatives to Selling Is there a way, you wonder, to have your business support you and your family without running it unt... Full Details »	$59.95
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 »	$29.95
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 »	$9.95
Going Private: How does it work? Most going private transactions are financed with borrowings banks or other institutions. In the typ... Full Details »	$9.95
SOX and Technology: Transferring the Burden of Compliance The advantages of software on demand extend beyond ease of implementation and operational efficiency... Full Details »	$39.95
Independent Director This paper provides information on topics which are of interest and importance to non-executive dire... Full Details »	$9.95
Convertible Securities - Death Spiral? “Death spiral convertibles” have increasingly become a more popular form of financing for cash-stra... Full Details »	$89.95
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 »	$29.95
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 »	$29.95
Tender Offers The scope of Regulation 14E [Rules 14e-1 to 14f-1] was created to assist in providing legal paramete... Full Details »	$14.95
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 »	$9.95