Tory Bantz practices business, securities, and tax law. She provides guidance to companies on corporate disclosure to the U.S. investor audience and advises clients on accessing and attracting U.S. investors. She represents domestic issuers and foreign private issuers with respect to their U.S. securities needs, such as exempt offerings of debt and equity securities under Regulation A+, Regulation S, Rule 506 of Regulation D, Rule 144A and compliance in connection with mergers and acquisitions.
Tory provides guidance on electronic share eligibility with The Depository Trust Company (DTC) and assists companies with making their shares “DTC-eligible.” Tory serves as U.S. counsel to non-U.S. companies with respect to their corporate needs and doing business in the United States. She has an expertise in assisting international and U.S. companies with listings on the premier tiers of the OTC Markets, known as the OTCQB and OTCQX, by acting as an attorney advisor since 2007. She represents companies in such industries as mining, biotech, technology, and cannabis.
She also advises U.S. and foreign companies in connection with initial listings on the New York Stock Exchange, NYSE American and Nasdaq and the required ongoing SEC compliance. In addition, Tory has a tax background and represents businesses and individuals with their tax planning needs, including representation before the IRS.
Tory is an active member of the Colorado Bar Association and has been on its Legislative Policy Committee since 2016. She regularly reviews new legislation as a member of the Business Law Section of the CBA and has testified before Colorado legislative committees on several business-related bills.
