These forms guide you through compliance and due diligence matters and aid in establishing standard operating procedures. They also serve as the starting point for preparing representations, employment contracts, stockholders' agreements, and escrow agreements. This title includes questionnaires for circulation to officers, directors, and 5 percent security holders, checklists to consult in connection with acquisitions, transfer of controlling blocks, stock splits, and dividends, and certificates of incorporation, incorporator papers, stockholder papers, and director documents for Delaware and New York corporations.
The SEC Internet page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category or scroll through the full list of SEC forms in alphanumeric order. Forms are the most current version.
This text walks you through the securities litigation process. It includes all the necessary forms along with explanations and analyses. Checklists included throughout the text help avert any errors or omissions.