Capital markets legal-AI skills in 🇺🇸 United States

20 legal AI skills for capital markets in United States.

ATM Equity Distribution Agreement

Apache-2.0United StatesCapital markets

Drafts a market-standard At-The-Market (ATM) Equity Distribution Agreement for public issuers conducting continuous shelf offerings under Rule 415(a)(4). Use when establishing or renewing an ATM program under an effective Form S-3, drafting a sales agent agreement, or structuring a continuous equity offering program.

Bad Actor Disqualification Review (Rule 506(d))

Apache-2.0United StatesCapital markets

Produces a Rule 506(d) bad actor disqualification review for private securities offerings, including a covered persons register, tailored questionnaires mapping to each disqualifying event category, a documented reasonable-care diligence record, and classification analysis of flagged events with remediation or disclosure recommendations. Use this skill when conducting Rule 506(d) diligence, identifying covered persons for a Regulation D offering, drafting bad actor questionnaires, or analyzing potential disqualifying events involving criminal convictions, SEC orders, SRO sanctions, or state regulatory actions. Also trigger when the user mentions bad actor screening, covered persons analysis, Rule 506(d) questionnaire, disqualification waiver, or reasonable care defense. Even if the user just says "bad actor check" or "506(d) diligence," use this skill.

Blue Sky Filings Compliance Workflow

Apache-2.0United StatesCapital markets

Produces a practitioner-grade Blue Sky compliance memorandum and execution plan for U.S. securities offerings. Analyzes NSMIA covered securities preemption, classifies offerings under Regulation D/Rule 506 or alternative federal exemptions, maps state jurisdictional nexus distinguishing offers from sales, and generates a state-by-state filing plan with Form D/EFD workflow, fee schedules, amendment triggers, and renewal calendars. Use this skill when advising on private placement Blue Sky compliance, Reg D notice filings, multi-state offering coordination, state securities registration exemptions, Form D filings, EFD submissions, or state fee budgeting. Also trigger when the user mentions covered securities preemption, NSMIA analysis, or asks about state notice filing requirements. Even if the user just says "Blue Sky" or "state filings for our raise," use this skill.

Comfort Letter from Auditors

Apache-2.0United StatesCapital markets

Drafts PCAOB AS 6101-compliant auditor comfort letters (cold comfort letters) providing negative assurance on unaudited financial information for underwriters in U.S. securities offerings. Use when drafting comfort letters for underwriting agreements, capital markets closings, IPOs, secondary offerings, or any securities transaction requiring auditor negative assurance at signing or closing.

Directed Share Program

Apache-2.0United StatesCapital markets

Drafts a Directed Share Program (DSP) agreement governing share allocation and purchase by designated participants in a U.S. public offering or IPO. Covers eligibility, allocation methodology, pricing, settlement, lock-up, indemnification, and SEC/FINRA compliance. Use when preparing DSP documentation for underwritten public offerings, IPO directed share programs, or controlled share purchase programs for employees, directors, and business associates.

Director and Officer Questionnaire

Apache-2.0United StatesCapital markets

Drafts Director and Officer (D&O) questionnaires for SEC disclosure compliance under Reg S-K Items 401, 402, 404, and 407. Covers biographical data, board service, conflicts of interest, related party transactions, legal proceedings, and beneficial ownership. Use when preparing annual proxy questionnaires, pre-IPO governance documentation, M&A due diligence packages, or independence assessments.

Form 10-K Annual Report

Apache-2.0United StatesCapital markets

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 financial integration. Use when drafting 10-K filings, annual reports, or public company annual SEC disclosures.

Form 10-Q Quarterly Report

Apache-2.0United StatesCapital markets

Drafts SEC-compliant Form 10-Q quarterly reports covering Part I financials, MD&A, market risk, controls, Part II updates, exhibits, and SOX certifications. Use when preparing quarterly SEC filings, EDGAR-ready 10-Qs, or interim disclosure packages. Trigger keywords: Form 10-Q, quarterly report, MD&A, Regulation S-K, Regulation S-X, SOX 302, SOX 906, XBRL, EDGAR, interim financial statements.

Form 8-K Current Report

Apache-2.0United StatesCapital markets

Drafts SEC Form 8-K current reports with item-accurate narratives, exhibit indexing, and EDGAR-ready formatting. Use when a public company must disclose a reportable event (material agreement, acquisition, personnel change, Reg FD disclosure) or file a current report within four business days. Trigger on "Form 8-K", "current report", "8-K filing", "EDGAR", "Item 1.01", "Item 2.01", "Item 5.02", "Reg FD".

Form D Notice of Exempt Offering

Apache-2.0United StatesCapital markets

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 a Form D filing, notice of exempt offering, Reg D compliance, or unregistered securities offering notice.

Form D Notice of Exempt Offering

Apache-2.0United StatesCapital markets

Drafts SEC Form D Notice of Exempt Offering for EDGAR filing under Regulation D. Captures issuer details, related persons, offering structure, exemption basis (Rule 504, 506(b), 506(c)), sales compensation, and use of proceeds. Use when filing Form D, preparing an exempt offering notice, or handling Regulation D compliance for unregistered securities.

Lock-Up Agreement

Apache-2.0United StatesCapital markets

Drafts U.S. IPO/secondary offering lock-up agreements restricting securityholder transfers and hedging during the post-offering period. Trigger when drafting lock-up agreements, market stand-off letters, or underwriting lock-up exhibits in capital markets transactions.

Opinion of Counsel for SEC Filing

Apache-2.0United StatesCapital markets

Drafts Opinion of Counsel letters for SEC registration statements, covering due incorporation, valid issuance, fully-paid and non-assessable opinions, and Reg S-K Item 601(b)(5) consent language. Use when drafting Exhibit 5.1 opinions for S-1/S-3 filings, shelf offerings, or securities issuance transactions.

Private Placement Memorandum (PPM)

Apache-2.0United StatesCapital markets

Drafts a legally compliant Private Placement Memorandum for Regulation D offerings (Rule 506(b)/506(c)), covering full disclosure framework including risk factors, capitalization, securities terms, use of proceeds, and investor qualification requirements. Enforces SEC anti-fraud compliance under Section 10(b)/Rule 10b-5, blue sky law considerations, and accredited investor verification under Rule 501. Use this skill when drafting PPMs, offering memorandums, Reg D disclosure documents, or private offering circulars for issuers raising capital from sophisticated investors. Also trigger when the user mentions private placement disclosure, offering memorandum, Reg D fundraising, or accredited investor verification. Even if the user just says "PPM" or "draft our offering memo," use this skill.

Private Placement Memorandum (PPM)

Apache-2.0United StatesCapital markets

Drafts U.S. Regulation D Private Placement Memoranda (PPMs) with required legends, risk factors, capitalization, securities terms, and subscription procedures. Trigger when drafting a PPM, preparing a Reg D (506(b) or 506(c)) offering, building accredited-investor disclosure, or structuring private placement documents to minimize 10b-5 liability.

SEC Prospectus Draft

Apache-2.0United StatesCapital markets

Drafts SEC-compliant prospectuses for securities offerings, structuring company data, financials, risk factors, and offering terms into a regulatory disclosure document. Use when preparing prospectuses, S-1 registration statements, offering memoranda, or primary disclosure documents for public or private issuances.

SEC Regulation D Compliance

Apache-2.0United StatesCapital markets

SEC Regulation D compliance for CRE syndications: 506(b) vs 506(c) offering selection, accredited investor verification, Form D filing, state blue sky compliance, general solicitation rules, and substantive pre-existing relationship documentation.

Securities Prospectus

Apache-2.0United StatesCapital markets

Drafts SEC-compliant prospectuses for U.S. securities offerings (IPOs, follow-ons, private placements). Structures cover page, risk factors, use of proceeds, business description, MD&A, financials, and offering terms against uploaded company documents and EDGAR comparables. Use when preparing a Form S-1, S-11, offering circular, or any primary disclosure document for a public or private issuance.

Shelf Registration Statement (Form S-3)

Apache-2.0United StatesCapital markets

Drafts SEC Form S-3 shelf registration statements for eligible U.S. public companies under the Securities Act of 1933. Verifies issuer eligibility (public float, investment grade, WKSI), structures all disclosure sections, and assembles exhibits for delayed or continuous offerings. Use when drafting Form S-3, shelf registration, securities registration, capital markets filings, or continuous offering documents.

Underwriting Agreement

Apache-2.0United StatesCapital markets

Drafts a firm-commitment underwriting agreement for SEC-registered U.S. public offerings, covering purchase terms, greenshoe, reps and warranties, covenants, closing conditions, indemnification, and market-out rights. Use when drafting or reviewing underwriting agreements, firm commitment deals, over-allotment options, or listing approvals; trigger on "underwriting agreement", "firm commitment", "public offering", "greenshoe", "over-allotment", "registration statement", "prospectus".