Process of OTC BB Listing

Stage 1: Pre-Listing Preparation

-       Review of company base data in order to provide

-       Scoping for overall plan and business objectives to establish readiness for listing

-       Review of company set-up

-       Review of management structure and capability

-       Review of financial forecasts

-       Review of company valuation and methodology

-       Review of major milestones

-       Evaluate for federal grants

-       Liaise with the company’s professional advisers, if required, to gain approval to the capital structure

       based on information supplied by the company

-       Preparation and/or rewrites of Business Plan and Private Placement Memorandum;

-       Model the capital growth plan in order to establish the pre-listing share split, approximate market

       valuation and share price;

-       facilitate contracts between Client and Investor Relations Firm

-       Set up client relationship with Transfer Agent for stock certificate design and CUSIP number

Stage 2: Pre-listing Commitment to Funding and Accounting

-       Secure a commitment(s) for post public funding;

-       Ensure that the company has the best possible deal breakdown and pathway to post public capital;

-       Liaise with fund managers and Company in order to get legal documents executed;

-       Work with company to arrange the collateral needs for the funding agreement to proceed;

-       Work with fund to manage the drawdown of those funds once the company is listed.

-       Author S1 doc for SEC filing and comments

-       Secure contracts between client and legal for S1 filing by legal

-       Connect client with PCAOB auditor for financial statement (added fee paid to accounting firm

       performing the audit)

-       Evaluate company for possible federal grants and government contracts

-       Communicate with outside GSA Schedule contract holders and research government contractor

       alliances for strategic alliances on behalf of client for possible facilitation.

Stage 3: Listing Service  

-       S1 is filed with PCAOB by Securities Attorneys;

-       Attorney enters into comments with SEC

-       Market Maker files 15c211

-       DTC Qualification

-       Confirm trading symbol and company description with OTC Markets

-       Legal Files necessary regulatory paperwork

Stage 4: Post Listing Service

-       Assist Company with strategic alliances within the government contractor sector if applicable

-       Assist and advise on strategies surrounding Investor Relations and Public Relations

-       Legal will advise on continuing listing obligations

-       Mergers and Acquisitions identification and facilitation assistance


Chartered Accountant, Vishwa Mohini,198-5442
Pantnagar, Ghatkopar(E),Mumbai 400075,INDIA

+91 79778 47590 +91 93724 53004 [email protected]