Strategies for small and medium-sized firms wishing to prosper in the untamed world of business and finance.

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Regulus Corporation

423 Main Street, 3rd Floor
Rockland, Maine 04841
(207) 593-8308

About Regulus Corporation

Regulus Corporation was formed in 2015 and is incorporated in the State of Florida. Its mission is to provide high-end consulting, advisory and back-office services to small and medium-sized enterprises seeking guidance and support across a broad spectrum of challenges common in today’s volatile economic and regulatory environment. Regulus Corporation is committed to providing cost-effective services to its clients with the desire to stimulate the growth and prosperity of the small business community, the backbone of the US economy.

Regulus Corporation offers a suite of advisory and support services that are often beyond the financial reach of many small and medium-sized enterprises. These include:

  • Merchant Banking

    Regulus can facilitate private equity investment by individuals or financial institutions in the unregistered securities of either privately or publicly held companies.

  • Transaction Financing

    You will have access to the Regulus network of investors, private equity firms and fund managers to arrange business financing.

  • Direct Public Offerings.

    A DPO may be an effective way for your business to raise capital for expansion, growth or other activities.

  • Mergers and Acquisitions

    Our experts have had many years of experience crafting successful M&A strategies for enterprises of all sizes.

  • Buying and Selling Businesses

    Proven buying and selling procedures are critical to completing a successful transaction.

  • Due Diligence

    It’s important to understand exactly what you are buying and to identify potential liabilities and pitfalls.

  • Turnaround Strategies

    We can help your business recover from many adverse circumstances whether caused by a bad economy, poor management decisions or inadequate financing.

  • Bankruptcy Management

    Management of bankruptcy options is our specialty. Our goal will be to get your business up and running again under a new, viable business strategy.

  • Back-Office Support

    Many small businesses do not have access to writing, proofing, design and media services, nor do they have the ability to communicate effectively with customers or clients.

  • Government Relations

    Regulus personnel have had over 40 years of hands-on expertise in government relations at the local, state and national levels.

  • Business Development Companies (BDCs)

    As an innovative business structure, BDCs offer some important advantages for investors, but the rules are arcane. Regulus thoroughly understands BDCs.

  • Planned Exit Strategies

    Regulus knows how to structure liquidity events and exit strategies that allow owners and investors to realize a reasonable return from their years of hard work.

  • Becoming a Public Company

    ‘Going Public’ may not be right for every business, but the Regulus team has had broad experience managing the process of creating and rehabilitating publicly-traded companies.

The Engineering of a Public Company™ is the flagship business model promoted and implemented by Regulus Corporation. It was devised and refined by RYS&Co., a principal shareholder of Regulus, and can be applied to businesses of any size. This model was conceptualized to describe and implement the strategy by which a public company can be structured or rehabilitated to become profitable and sustainable.

It is a fact that many small companies are not prepared for the public process. Many do not have the management skills or experience; others have not built sound business fundamentals (control of cash flow, debt and risk); others have not thought through a sound strategic plan with a gateway to growth; and still others simply do not have the financing or cash reserves to sustain the expense of the process. In some cases, management may make good-faith misjudgments that prove fatal or nearly fatal; still others embark on a quest for quick money – an all too common mistake - that nearly always ends in disaster.

Although there are certainly circumstances wherein the Engineering of a Public Company™ may be impractical, most can succeed if a proper strategy is devised and implemented. But this depends upon the willingness and flexibility of management to make a commitment to take the company in a different direction, and most importantly, to follow through on that commitment.

The Engineering a Public Company™ is based on the development of a sustainable business model that facilitates growth. In simple terms, an engineered public company will be able to profitably sustain its operations and will become more profitable as its strategic plan is implemented; sustainability is the key to success. The approach is unique in that it is not based on investor relations hype or promotion, reverse mergers or liquidity plays. As stated, the strategy depends upon on the development of a sustainable business based on fundamentals with a supportable capital structure. A proper capital structure must have an appropriate number of authorized, outstanding and float shares. Aggressive promotion of more stock into the market with high liquidity is not the answer; a viable public company simply cannot be sustained without sound fundamentals and a realistic strategic plan.

Our model is based upon implementing the following principles:

  • To build the company upon sound and sustainable business fundamentals; that is, to operate it and maintain it in an economically-sound manner according to accepted business, financial and accounting principles;
  • To operate with full transparency, providing accurate and timely information for investors and stockholders to study, understand and evaluate;
  • To maintain and promulgate a set of guiding principles and ethical standards that raises confidence in the company;
  • To reject get-rich-quick schemes designed to enrich insiders at the expense of investors;
  • To provide tangible value to customers, clients and stockholders alike by insisting upon quality control, conservative management and accountability;
  • To operate the company in a socially-responsible manner as good stewards of both human and natural resources as well as being responsible for the investors’ financial resources; and,
  • In all matters, to comply with both the spirit as well as the letter of all applicable laws and regulations.

It sounds high-minded and easy; however, to make these things a reality, tough decisions must be made by management, by the board of directors and by the shareholders. If they are not willing to make the tough decisions or heed our advice, then we simply cannot help! As Albert Einstein was reputed to have said, “The definition of insanity is doing something over and over again and expecting a different result.”

If you are interested in the Engineering of a Public CompanyTM and are willing to commit your company wholeheartedly to our model, these are some of the steps to be taken:>

What we will need and expect from you:

  • You will need to keep your company’s filings current (if applicable) throughout the process;
  • You must create and adopt a strategic plan to enhance internal and external profitable growth;
  • You may require a reverse stock split to help build market credibility, depending upon the number of currently authorized shares;
  • You must clean up any overhanging debt that causes a negative net worth or heavy dilution;
  • Insiders and affiliates must enter into a stock lockup agreement tied to a final plan; and,
  • You will be expected to fund the cost of a registration (S-1 or S-3), possibly as a subsidiary company.

What we will provide:

  • We will provide a draft strategic business plan based on growth through acquisition and the recapitalization of the company through a registration;
  • We will fund our cost of working with your legal and accounting firms, and with your management;
  • We will provide access to the process by which the offering will be distributed as a fully-compliant DPO. At a minimum, the goal will be to secure $5 to $15 million, of which 80% will be committed to the acquisition-model portion of the strategic business plan;
  • We will assist with any interim funding needs, based exclusively on the new model; and,
  • We will provide one or more acquisition candidates to meet the goals of the strategic plan.

We will not participate in any mechanisms that are not fully compliant with current law or regulation.

How we are compensated:

We partner with your public company as it becomes successful through growth in the market. Our group participates in new equity issues through a class of founders stock. Our affiliates will receive compensation through the merger and acquisition (M&A) engagements as part of the registration.


James E. Jenkins

Mr. Jenkins is our COB. He brings over 36 years of diversified experience in senior management, manufacturing operations, SEC public company experience to include CEO and COB, investment banking, real estate and commodities market. He has over 25 years’ experience in raising capital and structuring financial transactions in manufacturing, real estate and commodities. He has complete deal making experience including public offerings, private placement and M&A transactions, bond offering, commercial real estate construction and commodities. He has managed multiple functions including finance, operations, due diligence, and has experience with financial institutions, investors, stock exchanges and SEC. Mr. Jenkins is currently the President of RYS & Company Management LLC, a consulting firm and strategic business solutions firm providing services to companies requiring cutting-edge advice in the area of corporate growth strategies. Mr. Jenkins spent five years as the CEO of Cali Holdings Inc., a publicly traded closed-end, non-diversified management investment company under the Investment Company Act of 1940, a Business Development Company (BDC). The Company invested primarily in the equity and/or debt securities of micro and small cap companies in both the public and private.

Raj Shah, SVP of Business Development

Mr. Shah brings 26 plus years of exceptional and progressive experience in leadership, management and software engineering. Raj is an accomplished and award-winning leader and seasoned executive in driving global business growth by implementing dynamic product/project /solutions and eager to utilize stellar background and experience with a focus on maximizing success and quick results. He worked on complex software engineering assignments and led many global product and portfolio teams cross-functionally within a corporation.

Mr. Shah’s primary experience is in the telecommunications manufacturing industry involving specific knowledge areas of hardware platforms, software, data center and applications for wireless / IP / wireline networks and related industries. He has 3 Masters Degrees from ivy-league type schools; Managerial Communications from Northwestern University, Business Administration from Illinois Institute of Technology and Computer Science from DePaul University. Mr. Shah won 3 Bell Labs’ President’s Award, Chairman’s Team Quality Award and several cultural and leadership awards over 27 years of employment at AT&T/Lucent Technologies/Alcatel-Lucent.