We at The Tracy Firm, Ltd. recognize that the initial public offering (IPO) process can be a bit overwhelming, but we can reassure you that our attorneys are here to guide you every step of the way.Call us at 1.888.978.9901 or contact us online to discuss your IPO options

Are you a business owner, considering going public with your business? Get in touch with an IPO attorney with us. We bring you a vast range of experience and knowledge with regards to Initial Public Offerings. Our IPO attorneys can help you successfully navigate the complicated IPO process ensuring that your IPO is successful.

A lot of complex issues must be addressed during the process of taking your business public. We recognize that the initial public offering (IPO) process can be a bit overwhelming, but we can reassure you that our attorneys are here to guide you every step of the way.

As experienced financial consultants with an extensive background in legal representation, we are uniquely equipped to handle every aspect of the IPO process for your business or corporation. Call our IPO lawyers now at 1.888.978.9901 or contact us online to get started!

In fact, The Tracy Firm, Ltd. is among the leading providers of securities and compliance representation in the Chicago area. As a full-service law firm dedicated to providing multiple business legal services under one roof, we can guide you through the process of going public with minimal liability and help put you in the position for maximum growth and profit.

Our firm has offices in Chicago, IL and Beverly Hills, CA. We proudly serve clients in Chicago and the Los Angeles area. Call 1.888.978.9901 to learn how we can help you.

The Importance of a Prospectus Agreement

A prospectus agreement is a legal document and is a printed agreement that describes something, such as a new business, a business that is publically offered, or a business investment. The prospectus agreement will be sent to specific people who would be interested in or would want to be involved in the investment of the business. Essentially, the prospectus agreement forecasts the course of the business.

A preliminary prospectus agreement can include:

  • Description of the business
  • Discussion of strategy
  • Presentation of historical financial statements
  • Explanation of recent financial results
  • Management backgrounds and ownerships

A prospectus agreement will be an essential element in the IPO process. Because the prospectus will be under close scrutiny by specific and strict Securities and Exchange Commission (SEC) requirements, a prospectus agreement must be carefully drafted by a skilled and proficient professional who completely understands the weight that a well-written prospectus agreement can have on a business venture. Once a prospectus is registered and rendered effective by the SEC, a final prospectus can be prepared and distributed, making the final IPO of your securities complete.

S-1 Registrations, S-3 Registrations & Regulation A Filings

Registering with the SEC is a key part of reaching the initial public offering (IPO) stage. S-1 registration, the most comprehensive and time-consuming registration option, is usually mandatory for traditional IPOs. This form of registration provides the most in-depth statement of information on the issuing company and its planned security. Our firm is able to assist with S-1 registration, which is a requirement for public companies that want to list shares on a national exchange.

We can also provide assistance with S-3 registration, which is a much more simplified registration process. In order to qualify for this more convenient registration, a public company is usually required to have submitted quarterly and annual reports to the SEC for a certain time period. There are also other criteria that must be met. S-3 registration may be used for subsequent securities offerings that occur a year or more following the IPO, or it can potentially be used as a way of completely avoiding the S-1 process.

When a public offering is for a value of lower than $5 million within a period of one year, the company is exempt from the registration requirement. This exemption is called a Regulation A exemption. If you need assistance with a Regulation A filing, do not hesitate to turn to our firm for assistance.

Contact The Tracy Firm, Ltd. Today

Your business deserves total representation and comprehensive legal service for any IPO matter, including drafting prospectus agreements and final prospectus documents. At Securities Compliance Group, our Wheaton & Beverly Hills IPO and securities lawyers have the experience and knowledge to handle every step with precision and skill. Call us at 1.888.978.9901 or contact us online to discuss your IPO options.


Adam S. Tracy, J.D., M.B.A.

Attorney Adam Tracy has a strong background in all facets of commercial law and extensive experience in litigating complex commercial disputes, and is able and willing to help. He is also a well-versed legal scholar in the United States copyright law. A former competitive rugby player and serial entrepreneur, Adam Tracy has a wealth of experience on both sides of the table. He has advised many companies with regards to legal issues, law compliance and capital markets matters.

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