Small Cap Compliance, LLC is a securities compliance services firm based in Scottsdale, Arizona, USA, focused on serving micro-cap public companies. According to the website, its founder, Rhonda L. Keaveney, established the company in 2014 and has more than 20 years of experience in the public-company sector, covering areas such as securities compliance, reverse mergers, shell companies, OTC Markets filings, FINRA corporate actions, and corporate restructuring. It is worth noting that, based on the crawled page content, this is not a typical SaaS or enterprise software product, but rather a professional compliance consulting and document-delivery service.
Its core services include support for regulatory filings such as S-1, Form 10, 8-K, 15c2-11, OTC Markets, and FINRA corporate actions. M&A-related services include pre-closing due diligence, as well as pre- and post-closing documents and contracts. For financial reporting, it provides drafting support for 10-Q and 10-K reports. The founderβs background also mentions experience with state filing reinstatements, transfer agent updates, shareholder meetings, officer and director appointments, debt negotiations, internal controls, and day-to-day public-company management. The website does not disclose any online workflow, collaboration permissions, APIs, third-party integrations, or self-service product modules.
The website does not list packages, subscription pricing, project quotes, or free trial information. It only provides a phone number, email address, and contact form. Therefore, it is more likely to operate on a project-based or consulting-fee model, but this is not stated in the original content and cannot be confirmed. Payment methods are also not disclosed.
The main advantage is its clearly defined vertical focus: micro-cap public companies and OTC/SEC compliance scenarios. The founderβs experience spans broker-dealers, compliance officer roles, public-company COO work, interim CEO duties, and a legal background, with credibility coming from her personal track record and practical experience. The drawbacks are that the website provides relatively limited information and lacks client case studies, service processes, delivery timelines, service levels, fee transparency, and enterprise-grade security details. If a company is looking for a SaaS platform, team collaboration system, automated compliance workflow, or developer API, the website does not provide evidence of such capabilities.
It is suitable for U.S. micro-cap public companies, OTC companies planning a reverse merger or restructuring, and organizations that need support with SEC/OTC/FINRA documentation. For Chinese users involved in U.S. capital-market shell companies, OTC disclosures, or cross-border M&A, it may serve as a professional-service-provider lead for further due diligence. The original content does not provide information on access from China, so this remains unknown; payment methods are also unknown. If a software-based alternative is required, users can compare compliance management platforms such as Workiva and Diligent, or look for local securities law and compliance service providers in China.
β This review is compiled from public sources and does not constitute a purchase recommendation. Verify all facts on the vendor's official site. Verify on smallcapcompliance.com official site.
smallcapcompliance.com is an United States SaaS Tools provider. TG4G tracks its product information, an overall rating of 4.0/10, and a China-accessibility score of Limited (proxy recommended). Click "Visit Official Site" to reach smallcapcompliance.com directly.