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Securities Regulation Forms (Vols. 6-6C, Securities Law Series)

Product details:

Brand: Clark Boardman Callaghan
Copyright: 1997-2023
Service #: 16622956
Sub #: 16622959
Publication Frequency: Updated semiannually
Update format: Replacement pages

Free update period with subscription:

90 days  (details)

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Securities Regulation Forms (Vols. 6-6C, Securities Law Series)



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Use this set to draft forms, memoranda, and agreements needed for public and nonpublic securities offerings and resales of restricted securities. It also provides a wealth of annotated sample forms and documents accompanied by expert commentary.


  • Details on the public offering process, including letter of intent, underwriting agreements, corporate resolutions, blue sky requirements, NASD matters, and closing documents
  • Describes private placement limited partnership interests
  • Provides assurance of investor suitability
  • Includes seller's representations establishing factual predicate for Rule 144 sales
  • Covers private offerings governed by Regulation D and those under Section 4(2) of the Securities Act of 1933
  • Explains resales of securities issued in non-public offerings