Tips for New Issuers

S.E.C. codes:
CIK and CCC codes are required to file with the SEC. This should be done early in preparation for filing. We can assist you in obtaining these codes. Simply fill out this Form ID to begin the process.

Audit and Accounting:
Carefully select outside accountants and auditors based on several criteria unique to your business, which include size, complexity, expected expansion and or mergers. Look for responsiveness and technology. We can provide a guide. The selection of an auditor is often the most critical factor in the timeliness and success of initial filings.

Important Contracts:
Articles of Incorporation, Merger, Licensing agreements, major leases and other key legal documents of your company should be organized into your contracts department folders, in advance of any initial filing. These should be put into electronic format, proofed, indexed and cleaned up, if necessary, so that they can easily be incorporated into the Registration filings. We can help.

FEDWIRE account:
Initial Registration fees need to be paid on your behalf to the S.E.C. EquityTG has developed a transaction that remits required S.E.C. fees to the proper account and guaranteed on-time so as to avoid any filing suspension which occurs if the timing, amount, CCC Codes or other key information does not match. Suspension of S-8 generally leads to stale stock quote information resulting in a recalculation and re-filing. For other registrations, files are also suspended.

Authorship:
Filings are affected by written sections such as MD&A, risk factors, business plan elements and more. In many situations, a professional writer should be used to author these sections to assure compliance and avoid delays in acceptance. We can recommend professional authors.

Timeliness:
Naturally this is a critical consideration your filings. Late filings may result in serious S.E.C. regulatory problems. Repeated NT's (not timely's) are also a warning flag that should be avoided. EquityTG provides pre-alerts to the members of your 'work group' so that all parties are aware, in advance of their deadlines.

What to Expect when ready to file:

1. In order to file with the SEC, you will need to obtain CIK and CCC codes if you do not have them already. This should be done in advance of the filing as the Codes take several days to obtain.

2. Email your document(s) to filings@equitytg.com.  We will EDGARize the documents and send you a proof to review.

3. Make changes by either:
                 a. Printing the file, marking changes, and faxing back to us
                 b. Making changes in a word format - Please request a version in Word!
                          1) Track your changes (under Tools in Word) so we can determine
                              what has been changed - and Email the file back to us.
                 c. For minor changes you can call or Email them in.
   A new proof will be emailed for your approval.

4. Once all changes are made, and you have approved the final document, we will require an Email from you stating "Okay to file".

5. Once we have written approval to file we will electronically 'test file'.  A Test file is the last of our in-house check to be sure your submission is 100% SEC compliant. This process usually takes only a few minutes.