Account
Management
Once an account is established, we
apply for SEC filing codes, maintain the clients’ ‘work group’
members and all contact information as well as monitor the clients’
critical filing dates. Correspondence and notifications are sent via
email, fax and/or telephone through our client database.
Periodic Reporting
10-K and 10-Q reporting is handled as a time
dependent notification generation system by EquityTG. Because our
database maintains all client particulars (filing dates, work group
members, special information), we generate notices to all members in
the Work Group of upcoming filing requirements. This is intended to
expedite the process, avoid ‘Not Timely’ filings, avoid excessive
costs and missed deadlines.
Registration Statements
EquityTG is a registration filing
specialist with many years experience.
Through a combination of techniques and processes, we compress the
acceptance cycle, avoid certain SEC comments by design and
eliminate some unnecessary amended filings. All registration filings
are HTML based, avoiding negative comments relating to appearance,
bolding, and other formatting. Content checks are also performed to
insure key elements of the form are included prior to filing, avoiding
other comments.
FEDWIRE payment processing is also performed by EquityTG through our
own transaction and guaranteed to be correct and applied to the
issuer’s account so that any suspension of the file for registration
fee issues is avoided. We
strongly believe unwarranted delays in the registration acceptance
process is very damaging to the issuer and we take all appropriate
steps to avoid this problem.
Notification
EquityTG notifies issuers and work
group members of filing acceptance in rapid fashion through its
contact information and our internal system of email notification.
This means that within minutes of live acceptance, the issuer is
notified of the time, date, and confirmation number of the particular
filing.
Fair
Disclosure
The
SEC
September 2000 Regulation FD requires
reporting companies to issue either a news release or file an 8-K for
a material announcement for the company. EquityTG has developed
EDGAR-FD to convert news material into an 8-K filing at lower cost and
in less time.
Practice Alliances
EquityTG maintains alliances in all areas of
SEC practice for the benefit of its clients. For new issuers, we
can recommend attorneys, auditors, market makers and accountants based
on specific requirements. For reporting companies who wish to change
to another practice specialist we can recommend many from our list.
We can assemble very effective teams to perform these services for a
new issuer or an existing public company.
FEDWIRE
processing
EquityTG has developed a transaction
that remits required SEC fees to the proper account and guaranteed
on-time so as to avoid any filing suspension which occurs if the
timing, amount, CCC# 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.
Compliance
EquityTG provides a wide range of
compliance services for public companies and those in the process of
becoming reporting/trading. These include all interaction with the
state of incorporation, Standard & Poors, NASD, NASDAQ and the
SEC.
Services include
name change, CUSIP services, restoration of trading status, SEC
problem resolution, stock transfer issues and many others.
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