Venture Capital - "Keys to Capital"

The OTC Library
Forms, Documents, Contracts

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GENERAL READING

ARTICLES
How to Assess SMEs (2 pages) includes calculations and formula for valuing the intrinsic worth of a SME company.
Restricted Markets - Are SMEs the next boom? Will OTC Markets become hot property, the statistics say, yes.
(6 pages)
Methods used by VC with SME.
VC and Banks successfully deal with SME every day, SME investing needs a different approach.
EDITORIALS
Are SMEs in a Bull Market?
What is an SME, a small business or small corporation?
New OTC Markets
brief on different markets.
What is a Business Angel, Sophisticated Investor and Professional Investor?
Who, When, Why and what is the difference.
TECHNICAL

Laws - ASIC Australia

Laws - OECD

Laws - SEC (USA)

Market Symbols

Privacy Policy

A-OTCBB Market Rules

Australian OTC Bulletin Board
Unquoted SME Deregulated Capital Market for Restricted Securities
Due to many ambiguities, discrepancies contained in SME documentation, the Bulletin Board has attempted to standardize
certain Forms and Contracts for Foreign and Domestic Entrants to uses wherever possible.

Listing Forms & Notices
O-FN1: Listing Kit
O-FN2: Listing Certificate [x]
O-FN3: Service Order
O-FN4: Subscription to Market

Activity Forms
O-FN5: Securities Application
O-FN6: Buy-Sell Reservation ( PDF)
O-FN6a: BuySell Reservation ( HTML)
O-FN7: OTC Share Transfer Form

Issuer Reports & Notices
O-FN8: Company Quarterly, Bi-Annual, Annual Report.
O-FN9: Suspension Notice [x]
O-FN10: Breach Notice [x]
O-FN11: ASIC 'Action' Request [x]
O-FN12: Change in Core Business
O-FN13: SME Impact Statement
O-FN14: Termination Certificate [x]
O-FN15: Infringement Notice [x]

ReSales (Secondary Trades)
O-BA1: ReSale Listing Notice
O-BA2: ReSale Withdrawl
O-BA3: Seasoned Securities Notice
O-BA4: Exempt Resale Form

Swaps Notices
O-BA5:Buy Back Notice [a]
O-BA6: Swap Notice [a]
O-BA7: Entry Ratchet Notice [x]
O-BA8: Exit Ratchet Notice [x]

Credit Call Notices
O-BA9: Maturity Call [x]
O-BA10: Credit Default Notice [x]
O-BA11: Credit Rollover Notice [x]
O-BA12: Debt Conversion [x]

Repository Notes
O-BA13: Sale Notice
O-BA14: Note Cancellation
O-BA15: Underlying Security Access or Call-Up

General Documents
O-DC1: Registration [a]
O-DC2: Application [a]
O-DC3: Rules in HTML
O-DC4: Rules in PDF
O-DC5: Rules in MSdoc [x]
O-DC6: Share Application
O-DC7: Share Conversion
O-DC8: Offering Amendment [x]
O-DC9: Offering Close Off [ca]
O-DC10: New Offering (series B,C..)
O-DC11: Offering (dormancy) [a]
O-DC12: Change of Address
O-DC13: Change of Directors
O-DC14: Sec. 708 Outline
O-DC15: Offer & Disclosure Doc [example outline] [a]

Dealer Notices
Yellow Slip Transaction
Blue Slip Transaction
Pink Slip Transaction
Sell Notice
Buy Notice

SME Market Maker
includes:
Market Exposure Programs, Investor Circulars, Upgrades and Program switches, Market liason,
Domestic and International SME support.

Forms & Notices
C-FN1: Upgrade Form [ca]
C-FN2: Downgrade Form [ca]
C-FN3: Announcement Form
C-FN4: Showcase Registration [ca]
C-FN5: Incorporation Form
C-FN6: Re-Incorporation [ca]
C-FN7: Payment Advice [x]

Brochures & Articles
C-BA1: CIR Intro
C-BA2: Why List Brochure
C-BA3: Market Introduction
C-BA4: Showcase Format

Documents
C-DC1: Market Makers Appointment Form
C-DC2: SME Offer & Disclosure Document (non reporting type) [ca]
C-DC3: Consultants Accredit'n [x]
C-DC4: Accreditation Certificate [x]
C-DC5: Service Order [x]
C-DC6: Consultant Mandate
C-DC7: PAY ORDER

Some items may be not available, out of print, being updated

Secur-O-Clear
SME Market Registry Services
includes:
Market Registrations, Market Transactions, Settlement and Clearance, Tracking and Proofing.

Forms & Notices
S-1: Capital Issuance Report
S-2: Founders Issue
S-3: Pool Securities Issue [x]
S-4: Institutional Issue [x]
S-5: Wholesale Issue [x]
S-6: Corporate Issue [x]
S-7: Sophisticated Investor Issue [x]
S-8: Exempt Retail Issue (Lic. Dealer sponsored) [x]
S-9: Securities Class change [x]
S-10: Seasoned Securities Notice [x]
S-11: Non Domestic Issue [x]
S-12: Foreign Currency Issue [x]
S-13: Currency Translation Swap [x]
S-14: Vested Interest Swap [x]
S-15: Equitable Interest Swap [x]

Settlement Filings
S-F1: Settling Advice [x]
S-F2: Clearance Advice [x]
S-F3: T-10 Expiry Advice [x]
S-F4: Drawing Advice [x]
S-F5: Dishonour Advice [x]

Documentary Contracts
S-DC1: Service Order
S-DC2: Registry Service Contract

General Credits
Syndicating Venture Capitalist
includes:
General Credits Custodians Pty Ltd
General Credits Australia Limited
General Credits, Inc.
for Syndication Programs, Capitalisation Programs, Private structured Investment.

Forms
G-FN1: Application form
G-FN2: Assets & Liabilities Statement by Customer
G-FN3: Solvency Statement; (cashflow) P & L type and A & L Statement [ca]
G-FN4: Application Form Advances
G-FN5: Underwriting Request [ca]
G-FN6: Sponsors Program Application & Request [ca]
G-FN7: Shareholders Agreement
G-FN8: Investment Entry Agreement
G-FN9: Expression of Interest

Brochures & Articles
G-BA1: General Credits Intro
G-BA2: Repository Notes
G-BA3: Programs

Documents & Contracts
G-DC1: Facility Provisions for sponsored programs. [x]
G-DC2: Corp. Customers Account Application xt]
G-DC3: Signatory Card [x]

Miscellaneous

Company Forms (Aust)
205 : Change of Constitution
207 : Share Issue
207Z :Stamp Duty Compliance
208 : Issuance for Cash Equivalents
210 : Securities Rights
304 : Change of Directors
309 : Change of Company Details

Practice Notes

Deregulated Markets - Opinion Paper

Other

Offer & Disclosure Document requirements and inclusions.

PRIVACY STATEMENT

subject to change anytime.
release of forms, documents at the sole discretion of the Bulletin Board Review Committee.