Tory Bantz practices business, securities, and tax law. She provides guidance on corporate disclosure to the U.S. investor audience and advises clients on accessing and attracting U.S. investors. She represents 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 qualifying exchange offers 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.
She also advises U.S. and foreign companies in connection with initial listings on the New York Stock Exchange, NYSE MKT 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.
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 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
- 11th Annual Business Law Institute, “Exculpatory Clauses,” October 2010
- 8th Annual Business Law Institute, “ The Contractual Right to Modify or Eliminate Duties and Limit Transfers of Interest in Unincorporated Entities – Panel Discussion,” August 2007
Professional Activities:Member of the Colorado Corporations and Associations Act legislative drafting committee
- Colorado (2004)
- U.S. District Court (2004)
- U.S. Tax Court (2004)
- Regulation A+: Good, But Not Everything We Hoped For
- 2013 Business Case Law Update
- 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”
- Why a Non-US Company Would Voluntarily Subject Itself to SEC Reporting Requirements
- 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)