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.

Features

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

Summary of contents
Replacement pages

Chapter
1. Limited and Nonpublic Offerings of Securities by Issuers
  1. Public and Private Limited Offerings--Regulation D and Regulation A (ss 1:1 to 1:85)
  2. Private Offerings under Section 4(2) of the 1933 Act (ss 1:86 to 1:88)
2. Resales of Securities Issued in Non-Public Offerings (ss 2:1 to 2:35)
3. Public Offerings of Stock--Part I (ss 3:1 to 3:57)
4. Public Offerings of Stock--Part II (ss 4:1 to 4:73)
5. Public Offerings of Stock--Part III (ss 5:1 to 5:42)
6. Public Offerings of Stock--Part IV (ss 6:1 to 6:57)
7. Public Offerings of Stock--Part V (ss 7:1 to 7:57)
8. Public Offerings of Stock--Part VI (ss 8:1 to 8:4)
Appendices
1. Securities Act Registration for Small Business Issuers (ss 9:1 to 9:32)
2. A Direct Public Offering (DPO) Using the SEC Rule 504 Exemption (ss 10:1 to 10:4)
3. Resales of Restricted Securities to Qualified Institutional Buyers under Rule 144A (ss 11:1 to 11:24)
4. Investment Adviser Forms (ss 12:1 to 12:32)
5. Employee Incentive Compensation (ss 13:1 to 13:43)
6. Filings Under the Securities Exchange Act of 1934 (ss 14:1 to 14:96)

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