Private Placement Advisors LLC 





advising on exempt offerings to find investors.  

Going Public Without Audited Financials

Private Placement Advisors LLC can put a private company on the Pink Sheets by making their securities DTC eligible.


We help companies go public via the OTC Pink Sheets without having to file 10Qs or 10Ks. Quarterly reporting is not required for non-reporting public companies. We avoid registration by using Tier 1 of the new Regulation A+ (maximum $20,000,000 raise).


DTC is the largest securities depository in the world and holds over thirty-five trillion dollars worth of securities on deposit. DTC accepts deposits of securities from its participants, usually clearing firms. Heineken Beer, Nintendo, Nestle Chocolate and other large well-known companies trade on the Pink Sheets.


Raising capital this way can mean you raise more capital and give away less of the company. It may also allow you to go to investment banks that typically do not invest in a private company. 


Stock can be used as currency to buy things or trade for advertising; several barter groups trade restricted stock for media placements for investor awareness campaigns or to promote the product or service. 


A company can go public this way with the assistance of Private Placement Advisors LLC and then go to broker-dealers and ask them to offer the stock to their clients. We can sometimes facilitate this process through our extensive network of regional broker dealers. Maintaining eligibility is critical for the smooth trading of an issuer’s float in the secondary market.


An issuer cannot make direct application to the DTC for eligibility. An application must be submitted and sponsored by a DTC Participant. A current list of DTC Participants can be found on the DTC website. Many market makers and transfer agents maintain a relationship with DTC participants and can arrange the application process on an issuer’s behalf.


Prior to submittal of the application, the Issuer must have a transfer agent and that transfer agent must have a completed DTC Operational Arrangements Agent Letter on file with the DTC and it must be participating in the DTC’s Fast Automated Securities Transfer (“FAST”) program.


Where the Issuer’s securities are already issued and outstanding (not a new offering), the Participant will need to submit a copy of the physical certificate and a transfer Agent Attestation Form. Most of the forms are PDF fill-in forms and can be uploaded or printed directly from the website. An eligibility application will be reviewed for completeness and will be subject to comments. It is the responsibility of Private Placement Advisors LLC to address any comments and provide all information requested. An Issuer should work closely with the Participant to make sure all information is accurate, complete and up to date.


The DTC Operational Arrangements criteria are set forth on the DTC website. In addition to the Operational Arrangements, in order to be DTC eligible, an Issuer’s securities must be issued in a transaction exempt from registration under the Securities Act and that, at the time of seeking DTC eligibility, are no longer restricted; or be eligible for resale pursuant to Rule 144A or Regulation S under the Securities Act.

Our Exempt Offerings Library includes books and audiobooks on crowdfunding, exempt offerings, and other topics.

Our monthly reporting service, Exempt Offerings Reporter, summarizes recent developments in the world of Blue Sky law and regulation. 

To get started or just to ask questions, email dslain@privateplacementadvisors.comDouglas Slain can be reached directly at 415-317-6130.