SEC Counsel for AMEX Filing

min $50 USD / hour

In Progress

Posted about 1 month ago

min $50 USD / hour

I need an experienced U.S. securities attorney to take my company through a fresh listing application with the NYSE American (AMEX). We are already a fully-reporting issuer and have completed three Regulation A+ IPOs, so the corporate records, audited financials, and governance policies are all in place. Earlier we opened an application with Nasdaq but chose to withdraw before the review was complete; the feedback received will be shared so you can anticipate and pre-empt similar comments from AMEX staff. Your role is to: • Review our existing filings and corporate documentation for AMEX compliance • Draft and file the complete listing application package, including any required supplemental disclosures and opinion letters • Liaise directly with AMEX examiners and the SEC, manage comment rounds, and guide us to the approval vote • Provide ongoing advice on any rule 10A-3, corporate governance, or Reg A+ crossover issues that may arise until the first day of trading Please outline your relevant AMEX or other U.S. exchange experience, typical timelines, and any specific document checklist you will require from us so we can get started immediately.

Project ID: 40362651

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4 proposals

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Active 1 mo ago

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Awarded to:

@mfaisal3096

Hi, With over 7 years of experience as a U.S. securities attorney, I bring a deep understanding of the NYSE American (AMEX) listing process and a proven track record of navigating complex securities regulations. I will meticulously review your existing filings and corporate documentation to ensure compliance with AMEX requirements while addressing any prior feedback from Nasdaq to preempt similar issues. My approach will involve drafting and filing a thorough listing application package, complete with all necessary disclosures and opinion letters, while maintaining a keen eye for accuracy and detail throughout the process. I prioritize clear communication and will work closely with your team, AMEX examiners, and the SEC to manage comment rounds effectively and guide you toward a successful approval vote. I will provide real-time advice on corporate governance and Reg A+ crossover issues until your first day of trading. To expedite our collaboration, I can outline a document checklist tailored to your needs and typical timelines for each phase of the listing process so we can begin immediately and meet the agreed deadline efficiently.

$50 USD in 7 days

5.0

(10 reviews)

5.1

4 freelancers are bidding on average $56 USD/hour for this job

@IshfaqKhan786

With over a decade of experience in varied local and international legal domains, I believe I possess the necessary qualifications to be your SEC counsel for your AMEX filing. My expertise in drafting various legal documents including corporate governance policies, compliance filings, and extensive knowledge of U.S. securities laws are pertinent to your project requirements. Notably, my prior experience with Nasdaq filings will enable me to navigate potential challenges preemptively anticipating possible comments by AMEX staff. As a seasoned Attorney, I have successfully guided clients through various complex regulatory landscapes. My approach is twofold: meticulous review of existing filings to ensure AMEX compliance and efficient drafting/filing of application materials with required supplement disclosures and opinion letters. Furthermore, I can skillfully negotiate comment rounds with AMEX examiners and the SEC fostering a smooth process toward approval for your company. My work with my law firm has given me the requisite background to offer ongoing advice on rule 10A-3, corporate governance norms, or any Reg A+ issues that might arise and require attention until your first day of trading. Moreover, my team at Ahmed Nawaz Legal Consultancy Service guarantees undivided attention to every detail in your project which stands paramount for a successful completion. Let's embark on a journey towards a successful AMEX application!

$50 USD in 40 days

4.9

(65 reviews)

6.3

@simplifitax

With nearly a decade of experience aiding startups and established companies alike, I'm confident that my skill set perfectly aligns with your needs. Having successfully managed numerous accounting and financial functions for small-to-medium companies, I have gained expert insights into what it takes for businesses like yours to navigate the complex world of SEC filings and exchanges listing. My proficiency in financial consulting, tax planning, auditing, compliance is directly applicable to your project. In terms of track record, I have been involved in multiple matters relating to SEC compliance and have helped ensure their successful completion. This includes filing for exchange listings such as AMEX - a process which I understand can get intricate and difficult at times. My practical approach to problem-solving will be invaluable as we fine-tune your existing filings to meet AMEX's unique requirements.

$50 USD in 40 days