More examples in Legal/Paralegal Practice
General Duties of a Legal Assistant in Securities and Municipal Bonds Example
SmartDraw includes Paralegal Practice examples like this General Duties of a Legal Assistant in Securities and Municipal Bonds template that you can easily edit and customize in minutes.
Text in this example:
General Duties of a Legal Assistant in Securities and Municipal Bonds Draft legal investment survey Draft Blue Sky memoranda and applications for exemption Obtain CVSIP number, NASDAQ, Standard and Poor's and Moody's Securities Manual listings Draft promissory notes, underwriting agreements, trust indentures and bond purchase agreements Draft questionnaire for officers, directors and principal shareholders Draft 1934 Act reports Monitor distribution of offering memoranda Organize filing of registration statement including coordinating with printer, assembling appropriate copies and preparing transmittal letters Draft registration statement, prospectus offering memoranda and amendments Draft and file documents for renewing or withdrawing the registration of broker/dealers with salesmen Draft and file documents for registering broker/dealers and/or salesmen with NASD, SEC and state securities commissions Research and prepare documents for after-market trading exemptions Prepare memoranda on the availability of exemptions Perfect securities or dealer exemptions Draft and file dealer and /or salesmen registration documents Notify state securities administrators of SEC effectiveness Draft and file applications for registration including uniform consent to service of process, powers of attorney and uniform form of corporate resolutions Draft Blue Sky registration Prepare and file for tax shelter registration numbers Prepare and file notice of sale of securities Draft exhibits to private placement memorandum including offeree questionnaire and subscription Agreement Draft and file Form 144 and related documentation Prepare stock exchange listing application Prepare "inside trading" precautionary memo to employees Prepare drafts of proxy and proxy statements Draft portions of Forms 3,4,8,8-K, 10, 10-K, 10-Q, 13D and 13G Qualify dealer corporations where applicable Draft necessary resolutions authorizing the issuance of the bonds Draft petition and complaint, notice to the public, notice to the district attorney, rule nisi, answers and validation order Finalize basic documents and distribute for execution Coordinate with underwriter the accuracy of the statements Draft summaries of documents for use in preparing preliminary official statement and official statement Review bond purchase agreement or underwriting agreement Draft security agreements (deed, guaranty, mortgages) Draft indenture Draft lease agreement, loan agreement, agreement of sale, facilities financing agreement ordinance or contracts Draft recording certificate Prepare tax election (if applicable) and arrange for appropriate filing Draft company authorizing resolutions and officers' certificates Draft closing papers for issuer including authorizing resolutions, authentication order to trustee, incumbency certificate, nonarbitrage certificate and CVSIP numbers Check bounds at time of closing and read bond numbered 1 Proof first galley of the bonds and check manufacturing schedule, coupon amounts and CVSIP numbers Send bond form to printer Prepare exhibits to pleadings and resolutions Calculate debt borrowing base, debt service for financing bond issue refunding studies and conventional mortgage payout schedules Compile the closing transcript Attend closing, checking all certificates and opinions, insurance policies,legal descriptions Draft financing statements