Securities
Skills
United States
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securities
Annual Meeting Proxy Statement
Drafts a SEC Regulation 14A / Rule 14a-3 compliant annual meeting proxy statement (DEF 14A) covering notice, governance, executive compensation, rela…
United States
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securities
Broker-Dealer Customer Agreement
Drafts SEC/FINRA-compliant Broker-Dealer Customer Agreements covering account opening, trading, margin, fees, risk disclosures, privacy, arbitration,…
United States
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securities
Client Disclosures
Guide the creation, content, and delivery of required client disclosure documents for investment advisers and broker-dealers. Use when the user asks …
United States
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securities
Document Review
Reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation. Use…
United States
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securities
FINRA Broker-Dealer Cybersecurity Guidance Expert
FINRA Broker-Dealer Cybersecurity Guidance expert. Stub-depth framework plugin that routes to the SCF crosswalk. Level up by adding framework-specifi…
United States
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securities
FINRA Rule 4512 — Customer Account Information
Drafts FINRA Rule 4512-compliant customer account records for broker-dealers. Use when onboarding customers, updating account information, or prepari…
United States
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securities
FINRA Rule 4512 — Customer Account Information
Drafts a FINRA Rule 4512 customer account information checklist for broker-dealers covering identification, trusted contact, affiliations, suitabilit…
United States
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securities
Insider Trading Policy
Drafts a U.S. financial-services insider trading policy covering MNPI definitions, preclearance, blackout windows, 10b5-1 plan governance, restricted…
United States
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securities
Intrastate Offering Compliance (Rule 147/147A)
Produces a compliance memo and execution plan for U.S. intrastate securities offerings under Rule 147 or Rule 147A with state registration by qualifi…
United States
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securities
Investors' Rights Agreement
Drafts a U.S. Investors' Rights Agreement for VC/private equity financings, covering registration rights, information/management rights, pro rata rig…
United States
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securities
Sarbanes-Oxley Act of 2002 (SOX) Expert
Sarbanes-Oxley Act of 2002 (SOX) expert for ICFR-relevant IT and security work. Deep knowledge of 15 U.S.C. §§ 7201 et seq., §302/§404/§906 certifica…
United States
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securities
Securities Regulation Summary
Generates thematic compliance summaries of US securities regulation developments. Triggered when a user needs briefings on SEC rulemaking, enforcemen…
United States
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securities
Simple Agreement for Future Equity (SAFE)
Drafts Simple Agreements for Future Equity (SAFE) for early-stage venture capital financing with valuation cap/discount mechanics, investor qualifica…
United States
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securities
State Merit Review Analysis
Analyzes state merit review for non-covered securities offerings, applying NASAA Statements of Policy to cheap stock, promoter equity investment, vot…
United States
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securities
Suitability and Best Interest Policy (Reg BI)
Drafts board-ready Suitability and Best Interest policies for broker-dealers under FINRA Rule 2111 and SEC Regulation Best Interest (Reg BI). Covers …
United States
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securities
Transfer Agent Agreement
Drafts U.S. transfer agent agreements between issuers and SEC-registered transfer agents covering appointment, stock ledger, transfer processing, Rul…
securities legal skills for United States
Securities practice in the United States runs through a dense and constantly shifting landscape: SEC registration statements, Exchange Act periodic reporting obligations, Regulation D private placements and Rule 144A resales to qualified institutional buyers, and enforcement actions before the SEC's Division of Enforcement and FINRA. The agent-ready legal skills for U.S. securities law in the ThomasMore catalog are built for that complexity — drafting and reviewing disclosure documents, mapping offering exemptions, checking beneficial-ownership reporting thresholds under Schedules 13D and 13G, and screening insider-trading compliance policies.
Each skill runs over MCP or downloads directly into your environment, so it slots into deal workflows without rebuilding from scratch. They serve counsel advising issuers on IPOs and follow-on offerings, broker-dealers navigating FINRA rulebooks, and in-house teams managing continuous SEC filing calendars. As the SEC issues no-action letters and updates rules — from Regulation S-K modernization to evolving crypto-asset guidance — authors maintain these skills to reflect current agency positions. Filter by license, author, or sub-topic to isolate the capability your matter requires, whether it sits in capital formation, secondary-market compliance, or enforcement response.