Marketplace Create skill Sign in

Capital Markets

Plugin: us-capital-markets Version: License: Apache-2.0 Skills: 20

Skills

United States flagUnited States · capital-markets

ATM Equity Distribution Agreement

Drafts a market-standard At-The-Market (ATM) Equity Distribution Agreement for public issuers conducting continuous shelf offerings under Rule 415(a)…

CaseMark
United States flagUnited States · capital-markets

Bad Actor Disqualification Review (Rule 506(d))

Produces a Rule 506(d) bad actor disqualification review for private securities offerings, including a covered persons register, tailored questionnai…

CaseMark
United States flagUnited States · capital-markets

Blue Sky Filings Compliance Workflow

Produces a practitioner-grade Blue Sky compliance memorandum and execution plan for U.S. securities offerings. Analyzes NSMIA covered securities pree…

CaseMark
United States flagUnited States · capital-markets

Comfort Letter from Auditors

Drafts PCAOB AS 6101-compliant auditor comfort letters (cold comfort letters) providing negative assurance on unaudited financial information for und…

CaseMark
United States flagUnited States · capital-markets

Directed Share Program

Drafts a Directed Share Program (DSP) agreement governing share allocation and purchase by designated participants in a U.S. public offering or IPO. …

CaseMark
United States flagUnited States · capital-markets

Director and Officer Questionnaire

Drafts Director and Officer (D&O) questionnaires for SEC disclosure compliance under Reg S-K Items 401, 402, 404, and 407. Covers biographical data, …

CaseMark
United States flagUnited States · capital-markets

Form 10-K Annual Report

Drafts SEC Form 10-K Annual Reports under the Securities Exchange Act of 1934. Structures all four Parts with Regulation S-K compliance and GAAP fina…

CaseMark
United States flagUnited States · capital-markets

Form 10-Q Quarterly Report

Drafts SEC-compliant Form 10-Q quarterly reports covering Part I financials, MD&A, market risk, controls, Part II updates, exhibits, and SOX certific…

CaseMark
United States flagUnited States · capital-markets

Form 8-K Current Report

Drafts SEC Form 8-K current reports with item-accurate narratives, exhibit indexing, and EDGAR-ready formatting. Use when a public company must discl…

CaseMark
United States flagUnited States · capital-markets

Form D Notice of Exempt Offering

Drafts SEC Form D Notice of Exempt Offering for EDGAR filing under Regulation D. Captures issuer details, related persons, offering structure, exempt…

CaseMark
United States flagUnited States · capital-markets

Form D Notice of Exempt Offering

Drafts U.S. SEC Form D notice data sets for Regulation D exempt offerings (Rule 504, 506(b), 506(c)), ready for EDGAR submission. Use when preparing …

CaseMark
United States flagUnited States · capital-markets

Lock-Up Agreement

Drafts U.S. IPO/secondary offering lock-up agreements restricting securityholder transfers and hedging during the post-offering period. Trigger when …

CaseMark
United States flagUnited States · capital-markets

Opinion of Counsel for SEC Filing

Drafts Opinion of Counsel letters for SEC registration statements, covering due incorporation, valid issuance, fully-paid and non-assessable opinions…

CaseMark
United States flagUnited States · capital-markets

Private Placement Memorandum (PPM)

Drafts a legally compliant Private Placement Memorandum for Regulation D offerings (Rule 506(b)/506(c)), covering full disclosure framework including…

CaseMark
United States flagUnited States · capital-markets

Private Placement Memorandum (PPM)

Drafts U.S. Regulation D Private Placement Memoranda (PPMs) with required legends, risk factors, capitalization, securities terms, and subscription p…

CaseMark
United States flagUnited States · capital-markets

SEC Prospectus Draft

Drafts SEC-compliant prospectuses for securities offerings, structuring company data, financials, risk factors, and offering terms into a regulatory …

CaseMark
United States flagUnited States · capital-markets

SEC Regulation D Compliance

SEC Regulation D compliance for CRE syndications: 506(b) vs 506(c) offering selection, accredited investor verification, Form D filing, state blue sk…

mariourquia
United States flagUnited States · capital-markets

Securities Prospectus

Drafts SEC-compliant prospectuses for U.S. securities offerings (IPOs, follow-ons, private placements). Structures cover page, risk factors, use of p…

CaseMark
United States flagUnited States · capital-markets

Shelf Registration Statement (Form S-3)

Drafts SEC Form S-3 shelf registration statements for eligible U.S. public companies under the Securities Act of 1933. Verifies issuer eligibility (p…

CaseMark
United States flagUnited States · capital-markets

Underwriting Agreement

Drafts a firm-commitment underwriting agreement for SEC-registered U.S. public offerings, covering purchase terms, greenshoe, reps and warranties, co…

CaseMark

capital-markets legal skills for United States

U.S. capital markets work is governed by a layered federal framework — the Securities Act of 1933, the Securities Exchange Act of 1934, and SEC rulemaking — that demands precise disclosure drafting, careful registration mechanics, and ongoing compliance with rules that shift whenever the Commission issues new guidance or Congress acts. The capital markets legal skills for the United States in the ThomasMore catalog are built for that environment, covering IPO registration statements, Rule 144A and Regulation S private placements, Regulation A+ offerings, secondary trading compliance, and ongoing Exchange Act reporting obligations.

Each skill is agent-ready and reaches your workflow over MCP or as a direct download — whether the immediate task is stress-testing a prospectus against Item 303 MD&A requirements, mapping a SPAC timeline, or assembling a Form 8-K disclosure checklist after a material event. The ThomasMore catalog lets you filter these United States capital markets legal skills by license, author, or transaction type, so counsel to issuers, underwriters, or investors can locate what a live deal actually needs. Authors maintain the collection as SEC rulemaking and FINRA guidance evolve, keeping the underlying logic current rather than frozen at a prior cycle's standards. If your practice spans cross-border offerings or touches both public and private capital markets, the filters above let you narrow to the precise intersection you need.