EMPRESA DE SERVICIOS FINANCIEROS
PLANES LEGALES DE SUSCRIPCIÓN:

Regardless of market conditions, companies will always seek to scale by accessing capital markets and going public in the U.S. No matter how a company goes public, the process is highly regulated and, without experienced advisers, can be difficult, expensive and time-consuming.

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In an IPO process, a company must navigate the Securities and Exchange Commission (SEC) and federal securities laws, the rules and regulations of their chosen national exchange (generally Nasdaq or the NYSE), as well as be aware of the rules and regulations governing their underwriter (FINRA). Not only are the rules constantly evolving, but their interpretation, both formally through written guidance and informally through practice, is constantly shifting and changing. Proper representation in an initial public offering requires a specialized focus. Steve Mueller's Syndicate Legal Services has the technical experience, knowledge and skills necessary to assist companies in their efforts to go public. We work diligently on behalf of our clients to get the job done.

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Our Process (including, but not being limited to):

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• FIRST. In addition to legal compliance & advisory, a company will need an underwriter/investment banker, a qualified public company accountant (either internal or external), an independent public auditor, a transfer agent, an EDGAR agent and a dedicated internal team to work alongside the external team to complete the process.

• SECOND. Most companies require a corporate clean-up, whether it is a minor or complete restructuring. Corporate clean-up includes creating holding companies, changing states or countries of domicile for the corporate entities, amending charter documents such as articles of incorporation and bylaws, creating employee stock option plans, entering into employment agreements, entering into intercompany agreements and filling out a board of directors.

• THIRD. The real work begins early in the process and includes obtaining audited financial statements and drafting your registration statement. We work hand in hand with your accounting team and internal team to complete a draft of the registration statement early on so that it can be filed right after the audit is completed. Building out a registration statement involves telling your story – and we help you tell the best story you can.

• FIFTH. Whether your company wants to list on the OTC Market, the Nasdaq or the NYSE, we prepare and submit the application on your behalf. We can also help guide your decision on which exchange is the best fit for your company. The exchange application process involves a review and comment period, and we are there to help you through it.

• SIXTH. Once your initial registration statement is filed with the SEC, you will go through a comment and review period. It doesn’t have to be scary – we do it every day!

• SEVENTH. Throughout your entire IPO process, your underwriter will be completing extensive due diligence. We help answer their questions and guide you towards efficient organization. Your underwriter must also have its compensation approved by FINRA (a 5150 process). We help you understand that process. Finally, we help negotiate your final underwriting agreement, including officer, director and control shareholder lock-ups.

• EIGHTH. Every public offering involves a marketing period or roadshow. We help ensure that the marketing materials and process comply with federal securities laws.

• NINTH. The closing process for the IPO involves coordinating with the exchange, your transfer agent, DTC and underwriter to ensure that all funds are properly distributed, and your securities begin to trade. We know how to close the deal!

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STEVE MUELLER'S

SYNDICATE LEGAL SERVICES

(a Professional Services Corporation)​

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Contact:

Phone: (661) 505-3122

Email: Click Here