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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
