Capital markets advisory
Capital markets advisory helps a company plan its next market: a first listing, a move from OTC to a national exchange, or a cross-listing between the United States and Canada. We map the options, requirements, and timeline, and build the communications plan around them. Your lawyers, auditors, and registered dealers handle the filings and any securities transactions.
What's included
- Pathway assessmentIPO, direct listing, reverse takeover, Regulation A+ Tier 2, a CSE or TSXV listing, or a move to OTCQB or OTCQX, compared on cost, time, and fit.
- Uplisting readiness reviewA gap analysis against the target exchange's listing standards, including price, equity, shareholder count, and governance.
- Workstream plan and timelineWho does what, in what order, with your counsel, auditors, transfer agent, and board.
- Professional introductionsIndependent securities counsel, auditors, transfer agents, and registered dealers when you need them.
- Capital markets messagingThe equity story, deck, and FAQ investors will use to evaluate the new listing.
- Listing-day and post-listing planAnnouncements, investor outreach, and the first 90 days of communications on the new market.
What we are not. We are not a broker-dealer, investment bank, law firm, or accounting firm. We don't sell securities, arrange financing, or give legal or accounting advice. We coordinate with the licensed professionals who do.
How it works
Diagnose
Where you are today: reporting status, financials, share structure, governance, and shareholder base.
Choose a pathway
Options compared side by side with your advisors, with a recommendation in writing.
Prepare
Close the gaps and build the materials on a timeline your team signs off on.
Launch and sustain
Communications for the listing itself and the months after it.
Common questions
What is uplisting?
Uplisting is moving a company's shares from a lower-tier market, such as OTC Markets, to a national securities exchange such as Nasdaq or NYSE American. It requires meeting the exchange's initial listing standards and corporate governance rules, and it is usually a project of several months.
What are the main Nasdaq or NYSE American listing requirements?
Initial listing standards generally cover a minimum bid price, stockholders' equity or market value, the market value and number of publicly held shares, the number of round-lot shareholders, and corporate governance such as independent directors and an audit committee. Exact thresholds vary by tier and change over time, so we confirm the current rules with your counsel.
What's the difference between an IPO and a reverse takeover?
In an IPO, a private company registers and sells new shares to the public, usually through an underwriter. In a reverse takeover (RTO), a private company merges into an existing public company and its owners take control. An RTO can be faster, but it brings the public company's history, liabilities, and shareholder base with it, so it needs careful diligence.
Do you help companies list in Canada?
Yes. We help US and Canadian companies evaluate the Canadian Securities Exchange and the TSX Venture Exchange and plan communications for a listing or cross-listing, working alongside Canadian counsel.
Often combined with
Tell us your level.
Send us your ticker or your deck. We'll come back with a straight read on where you are and what would move you up.