Regulatory Consultants

Serving Public Companies Since 1982

 

For over 30 years, A. B. Korelin & Associates has provided securities consulting services to companies necessary to trade their stock in the United States. We assist our client companies in becoming “fully reporting” with the SEC by assisting in writing, submitting and maintaining all required filings.

 

Services

Our services include the preparation and filing of:

  • Registration Statements for US domestic companies (Form 10) and International and Canadian companies (Form 20-F/40-F)
  • Ongoing SEC compliance and reporting, including:
    • For US Domestic companies, Form 10-Q Quarterly and 10-K Annual Reports, 8-K Interim Reports and Proxy Statements;
    • For International and Canadian companies, Form 20-F and 40-F Annual Reports and Form 6-K Interim Reports;
    • For individuals, Ownership Reports, including Form 3, 4 and 5 for insiders and Form 13D/G for large holders.
  • Any applicable Exchange compliance documents and individual State compliance requirements, including “Blue Sky” regulations.

We also provide EDGAR document conversion and filing services in-house to our clients, which is both time and cost effective.

 

Our Clients

Our clients are generally smaller companies from the U.S., Canada and Worldwide who want access to the American capital markets. These include:

  • Canadian and foreign public companies already listed in their home market looking to add a trading market in the United States, including the major US Exchanges;
  • Private US companies looking to go public for the first time;
  • Unregistered U.S. Pink Sheet stocks looking to move to the more active US OTC Markets, or companies that have completed a Direct Public Offering (DPO) or state registered offering searching for a wider investor base
  • Current “fully reporting” companies who use us for their ongoing SEC compliance needs, or companies who have fallen out of compliance and need to regain their fully reporting status.

 

Contact Us

SEC and individual State rules and regulations are complex, and constantly changing. We have the knowledge and experience to make sure our clients fulfill all initial and ongoing reporting requirements so their shares can trade in the US public markets.

 

For more information, please contact Steve Taylor at:

stevecontact