Securities — United States
Securities skills for United States (imported from open sources; see each skill's author_url for provenance).
Skills
United States
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securities
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)…
United States
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securities
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…
United States
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securities
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…
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
Form ADV Part 1A — Filing Data
Fetches Form ADV Part 1A filing data and generates an interactive HTML filing guide + Excel filing reference. Covers Items 5.D/F/H, Schedule D §7.B.(…
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
Comfort Letter from Auditors
Drafts PCAOB AS 6101-compliant auditor comfort letters (cold comfort letters) providing negative assurance on unaudited financial information for und…
United States
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securities
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. …
United States
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securities
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, …
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 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
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…
United States
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securities
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…
United States
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securities
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…
United States
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securities
Form ADV Parts 1 and 2
Drafts SEC- or state-filed Form ADV Parts 1A/1B/2A/2B for investment adviser registration, producing IARD-ready responses, brochures, and supplements…
United States
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securities
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…
United States
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securities
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 …
United States
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securities
Fund Subscription Agreement
Drafts U.S. investment fund subscription agreements aligned to PPM/LPA terms and securities law compliance. Use when preparing subscription documents…
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
Investment Advisory Agreement
Drafts a U.S. Investment Advisory Agreement (IAA) for SEC- or state-registered advisers under the Investment Advisers Act of 1940, SEC Rules 204-3, 2…
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
Lock-Up Agreement
Drafts U.S. IPO/secondary offering lock-up agreements restricting securityholder transfers and hedging during the post-offering period. Trigger when …
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
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…
United States
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securities
Private Placement Memorandum (PPM)
Drafts U.S. Regulation D Private Placement Memoranda (PPMs) with required legends, risk factors, capitalization, securities terms, and subscription p…
United States
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securities
Securities Prospectus
Drafts SEC-compliant prospectuses for U.S. securities offerings (IPOs, follow-ons, private placements). Structures cover page, risk factors, use of p…
United States
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securities
SEC Prospectus Draft
Drafts SEC-compliant prospectuses for securities offerings, structuring company data, financials, risk factors, and offering terms into a regulatory …
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
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
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
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…
United States
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securities
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…
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
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…
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…
United States
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securities
Underwriting Agreement
Drafts a firm-commitment underwriting agreement for SEC-registered U.S. public offerings, covering purchase terms, greenshoe, reps and warranties, co…
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
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…