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.
J.D., University of Colorado, Boulder, Colorado (Tax Certificate) 2004; University of Colorado Law Review, 2002-2004 (Production Editor 2003-2004)
B.A., University of Virginia, Charlottesville, Virginia (English, minor Biology) 1997
Areas of Expertise:
Securities Compliance – U.S. Companies
Securities Compliance – Foreign Private Issuers
U.S. Capital Markets
Public and Private Financing
- CBA Business Law Institute 2019, “2019 Amendments to the Colorado Business Corporations Act”, September 2019 (upcoming)
- CBA Business Law Institute 2019, “2019 Marijuana/Hemp Update”, September 2019
- CBA Business Law Section, “2018 Legislative Update,” July 2018
- CBA Business Law Section, “2017 Legislative Update,” July 2017
- Guest Speaker, DU School of Law, “Capital Formation: Practice & Procedure,” October 2014
- CBA Business Law Section, “2013 Case Law Update,” January 2014
- University of Colorado School of Law, Mini Law School Program, “Estate Planning and Taxation,” October 2013
- CBA Business Law Section, “Organizing a Colorado Business,” April 2012
- CBA Business Law Institute 2010, “Exculpatory Clauses,” October 2010
- CBA Business Law Institute 2007, “The Contractual Right to Modify or Eliminate Duties and Limit Transfers of Interest in Unincorporated Entities – Panel Discussion,” August 2007
- Member of CBA Legislative Policy Committee 2016—present
- At-Large Member of CBA Business Law Section Executive Committee 2016—2018
- Legislative Liaison to CBA Legislative Policy Committee 2015—2016
- Member, Board of Directors, Burns Figa & Will, P.C. (2015 – present)
- Chair of Diversity Committee, Burns Figa & Will, P.C. (2018 – present)
- Member, American Bar Association, Business, IP, and Tax Sections
- Member, Colorado Bar Association, Business and Tax Sections
- Member, Denver Bar Association
- Member of the Colorado Business Corporations Act and Colorado Corporations and Associations Act legislative drafting committee
- Colorado (2004)
- U.S. Tax Court (2004)
- DTC Eligibility and trading Canadian company stocks in the U.S.
- U.S. Securities Laws: Keeping Company Status as a Foreign Private Issuer
- SEC Adopts Final Rules Allowing General Solicitations in Rule 506 and Rule 144A Offerings and Disqualifications of “Bad Actors”
- Rickles, Stephen P. & Bantz, Victoria B., Challenges to Annual Exclusion Gifts in Family Limited Partnerships and LLCs, Council Notes, Colorado Bar Association Trust and Estate Section, Vol. 30 No. 2 (Summer 2011)