Our
firm can assist your Company in completing a federal
registration statement Form 10-SB. In conjunction with the
Company's application for listing on the OTC-BB, We can
assist your Company in the preparation and filing of a Form
10-SB under the Securities and Exchange Act of 1934, as
amended, to become a “fully-reporting” company with the SEC.
The OTC-BB now requires that a company be fully reporting
(i.e., file 10-K's and 10-Q's with the SEC) before it can be
listed on the OTC-BB, however, this is not required should
the Company decide to become a Pink Sheet company.
We assist with the pre-planning
process, identification and selection of underwriters,
preparation of SEC disclosure documents. Once a company is
public, we assist with compliance with SEC reporting
requirements, including forms 10-Q and 10-K, and with other
securities filings relating to stock option plans, secondary
offerings, proxy statements, insider trading reporting and
all other SEC filings.
·
Corporate
·
Forming a
Business Entity: Incorporation or LLC Formation
·
Starting a
Business
·
Business
Licensing
·
Local suburban
and city licenses to operate business (non-Zoning)
·
Professional
regulation licensing
·
Entrepreneurs &
Small Businesses \
·
Corporate law for
existing Corporation, LLC or Partnership:
·
Corporate
Maintenance
·
Annual Report
·
Resolutions
·
Minutes
·
Reinstatement
·
Amendment
·
Name Change
·
Shareholder
Change
·
Business
Agreements
·
Noncompete
Agreements
·
Corporate
Buy-Sell Agreement Among Shareholders
·
LLC Agreement
Among LLC Members
·
Private Placement
Securities Compliance
·
Issuer Raising
Capital from Investors in Private Placement
·
We represent the
Issuing Companies Only, We Don't Raise Capital
·
Forming a Fund
·
Securities
Trading Fund
·
Futures Fund
·
Real Estate Fund
·
Fund Issuing
Equity to Investors
·
Securities
Compliance
·
Hedge Fund
·
Fund Manager -
Securities and Corporate Compliance
·
Investment
Adviser (Or spelled Investment Advisor)
·
SEC Registration;
SEC Registered Investment Adviser
·
SEC Compliance
·
Compliance Manual
·
Form ADV
·
State Investment
Adviser Registration
·
IARD Registration
/ WebIARD Registration
·
SEC/NASD
Compliance
·
SEC Audit
Preparation for Investment Adviser
·
SEC Investment
Adviser Audit Representation
·
RIA
·
Blue Sky and
Regulation D Rule 506 Compliance for Private Placement
·
Regulation D Rule
506 Offering
·
Regulation D Rule
504 Offering, SCOR Offering
·
Futures
Regulation and Commodities Regulation
·
EDGAR Filers
(Executives and Investors)
·
Section 13
Compliance
·
Section 16
Compliance
·
Rule 144 Advice;
Filing Form 144
·
Rule 3a4-1
Issuer-Dealer Exemption from Broker Dealer Registration
·
Public Exchange
Offerings or
·
SB-2 Offerings
·
Issuer's Use of
Money Finders:
·
Private Placement
Broker-Dealer Compliance and Advice
·
SEC Registration
Coming
·
Advice on Rule
3a4-1
·
Transactional
·
Business
Ventures, Partnerships and LLCs
·
Buying a Business
- Small Business
·
Selling a
Business - Small Business
·
Business
Split-Ups or Wind-Downs (Non-litigation transactions)
·
Executives and
Investors
·
Corporate
Executive in
·
Stock Plan
·
Stock Options
·
Equity Agreement
·
Buy-Sell
Agreement
·
Individual
Investor Making Potential Investment in Private Placement
·
EDGAR Filers
·
Schedule 13D
Filing
·
Schedule 13G
Filing
·
Form 3
·
Form 4
·
Form 5
Our firm
will design Private Placement Memorandums (PPM’s) pursuant
to Regulation D of the Securities Act of 1933 (the “Act”)
for companies seeking to solicit and raise private
investment funds for development and growth. The memorandum
will be designed to be offered to a maximum of thirty-five
“non-accredited” investors and an unlimited number of
persons who meet the definition of “accredited investors”
set forth in Rule 501(a) of Regulation D promulgated under
the Act. The Units to be offered in the memorandum will rely
upon a transactional exemption from the registration
requirements of Section 5 of the Securities Act of 1933.
(See U.S.C.A. Section 77a et. seq., as amended). This
transactional exemption is available under Regulation D,
Rule 505 or 506, of the Act (See 17 C.F.R. Section 501-508)
and essentially limits solicitation for investment funds to
friends, family and prior business acquaintances.
