Get Listed with Confidence – From Private company to NASDAQ, NYSE or OTC Markets going public transactions, including Initial Public Offerings (IPOs) and Direct Public Offerings (DPOs), we guide companies through every step of becoming publicly traded.

• Form S-1, Form F-1 for foreign issuers and other Registration Statements under the Securities Act
• NYSE, Nasdaq and OTC Markets Listing Applications and Comment Response
• Reverse Mergers & SPACs

We assist issuers with listing on the Nasdaq and NYSE and provide ongoing support, including SEC reporting, navigating NYSE and Nasdaq continuous listing and corporate governance requirements, managing disclosures, and executing strategic corporate actions.

We also assist OTC Markets companies with uplisting to the Nasdaq and NYSE.

We assist issuers with listing on the OTC Markets and provide ongoing support, including assistance with OTC periodic reporting (quarterly and annual reports), supplemental disclosures statements, and attorney letters.

We also assist with FINRA corporate action requests, OTCIQ, OTCQB and OTCQX applications, change of control disclosures, and written consents.

Navigating Nasdaq and NYSE Corporate Governance Requirements are no easy task. We can assist Exchange-Listing issuers with ongoing reporting requirements, including periodic reporting on Form 10-Q and Form 10-K or Form 20-F, public disclosure requirements on Form 8-K or Form 6-K, and all corporate governance matters, including written consents, proxy statements, and director independence and committee requirements.

From raising capital to being publicly traded, we assist foreign companies with securities law compliance, structure offerings, and build investor-ready compliance from day one.

• NYSE, Nasdaq and OTC Markets Listing Applications and Comment Response
• Form F-1 Registration Statements
• Form 20-F, Form 6-K & Annual Reports

Raise capital through Regulation D, Regulation A or other SEC Exemptions with strategic guidance on securities offering structures and terms tailored to your goals.

• Debt & Equity Offerings including Pipes, Convertible Notes & Common & Preferred Stock
• Private Placement Memorandums & Offering Circulars
• Subscription Materials
• Blue Sky compliance

Stay Current, Compliant, and Audit-ready – Ensure your public company stays compliant with SEC periodic reporting requirements, and corporate governance requirements.

• 10-K, 10-Q, 8-K preparation for US Issuers
• Form 20-F, Form 6-K & Annual Reports for Foreign Issuers
• Shareholder Reports & Proxy Statements
• NASDAQ and NYSE Corporate Governance for Exchange Listed Issuers

Whether you need a legal opinion for legend removal, share transfer services, assistance with ownership filings, or have questions about SEC rules and regulations, we are ready to help.

If you need help understanding SEC regulations or assistance conducting due diligence, we are ready to help. We have decades of research experience and an expert understanding of SEC rules & regulations. Be prepared before entering into a reverse merger or acquisition.

We also assist market participants with responding to SEC Subpoenas and understanding SEC Enforcement Actions and Administrative Proceedings.