* Draft registration statement and prospectus.
* Coordinate filing of registration statement and exhibits.
* Draft questionnaires for officers, directors, and principal shareholders.
* Draft promissory notes.
* Draft underwriting agreements.
* Draft trust indentures.
* Draft bond purchase agreement.
* Draft blue sky memoranda and blue sky registration documents.
* Review status of blue sky registrations.
* Draft legal investment survey.
* Notify state securities administrators of Securities and Exchange Commission (SEC) effectiveness.
* Draft and file dealer and/or salesperson registration documents.
* Perfect securities dealer or issuer exemptions.
* Prepare memoranda on the availability of exemptions and requirements for registration.
* Draft and file documents for registering broker/dealers and/or salesmen with National Association of Securities
Dealers (NASD), SEC, and, if necessary, state securities commissions.
* Draft NASDAQ and National Market System listing applications.
* Draft and file documents for renewing or withdrawing the registration of broker/dealers with salespersons.
* Research and obtain information concerning filings with NASD and SEC.
* Where applicable and appropriate, qualify dealer corporations.
* Draft and file Forms 3,4,5,8-K, 10-C, 10-K, 10-Q.
* Draft and file Form D.
* Draft and file Form 144 and related documents.
* Draft lease agreement, loan agreement, agreement of sale, facilities financing agreement, ordinance or contracts.
* Draft letter of transmittal and other tender offer documents.
* Draft confidential offering memorandum.
* Draft security agreements, including deeds, guaranties, mortgages.
* Draft summaries of documents to use in preparing preliminary official statement and official statement.
* Coordinate accuracy of statements with underwriter.
* Finalize basic documents and distribute for execution.
* Draft necessary resolutions authorizing the issuance of bonds.
* Send bond form to printer.
* Obtain Committee on Uniform Securities Identification Procedures (CUSIP) number for offerings.
* Proof first gallery of bonds and check manufacturing schedule, coupon amounts, and CUSIP numbers.
* Check bonds at time of closing and read bond numbered 1. Draft closing documents for issuer, including authorizing
resolutions, authentication order to trustee, incumbency certificate, non-arbitrage certificates, and CUSIP numbers.
* Draft resolutions and officers' certificates for corporate approval and execution.
* Draft tax election and arrange for filing.
* Draft recording certificate.
* Draft financing statements.
* Obtain certificates from state agencies (e.g., good standing of company).
* Attend closing, check all certificates and opinions, insurance policies, and legal descriptions.
* Compile closing transcript, prepare index, and organize closing binders.
* Draft regulation of public companies.
* Prepare drafts of proxy material and statements.
* Draft annual report to shareholders.
Note - Some of the information contained in the Business/Corporate section of this publication also includes work performed
in the Securities/Municipal Bonds specialty area.