# Securities & Capital Markets — United States

Securities offerings, disclosure, broker-dealer and adviser regulation, and market conduct.

Jurisdiction: `us` · Practice: `securities` · Skill language: en

## Skills (34)

| Skill | What it does |
|---|---|
| [`ATM Equity Distribution Agreement`](skills/atm-equity-distribution-agreement/) | Drafts a market-standard At-The-Market (ATM) Equity Distribution Agreement for public issuers conducting continuous… |
| [`Bad Actor Disqualification Review (Rule 506(d))`](skills/bad-actor-disqualification-review/) | Produces a Rule 506(d) bad actor disqualification review for private securities offerings, including a covered persons… |
| [`Blue Sky Filings Compliance Workflow`](skills/blue-sky-filings/) | Produces a practitioner-grade Blue Sky compliance memorandum and execution plan for U.S. securities offerings. |
| [`Broker-Dealer Customer Agreement`](skills/broker-dealer-customer-agreement/) | Drafts SEC/FINRA-compliant Broker-Dealer Customer Agreements covering account opening, trading, margin, fees, risk… |
| [`Comfort Letter from Auditors`](skills/comfort-letter-from-auditors/) | Drafts PCAOB AS 6101-compliant auditor comfort letters (cold comfort letters) providing negative assurance on unaudited… |
| [`Directed Share Program`](skills/directed-share-program/) | Drafts a Directed Share Program (DSP) agreement governing share allocation and purchase by designated participants in a… |
| [`Director and Officer Questionnaire`](skills/director-officer-questionnaire/) | Drafts Director and Officer (D&O) questionnaires for SEC disclosure compliance under Reg S-K Items 401, 402, 404, and… |
| [`FINRA Rule 4512 — Customer Account Information`](skills/finra-4512-customer-account/) | Drafts FINRA Rule 4512-compliant customer account records for broker-dealers. |
| [`FINRA Rule 4512 — Customer Account Information`](skills/finra-4512-customer-info/) | Drafts a FINRA Rule 4512 customer account information checklist for broker-dealers covering identification, trusted… |
| [`Form 10-Q Quarterly Report`](skills/form-10-q/) | Drafts SEC-compliant Form 10-Q quarterly reports covering Part I financials, MD&A, market risk, controls, Part II… |
| [`Form 10-K Annual Report`](skills/form-10k/) | Drafts SEC Form 10-K Annual Reports under the Securities Exchange Act of 1934. |
| [`Form 8-K Current Report`](skills/form-8k/) | Drafts SEC Form 8-K current reports with item-accurate narratives, exhibit indexing, and EDGAR-ready formatting. |
| [`Form ADV Parts 1 and 2`](skills/form-adv/) | Drafts SEC- or state-filed Form ADV Parts 1A/1B/2A/2B for investment adviser registration, producing IARD-ready… |
| [`Form D Notice of Exempt Offering`](skills/form-d-notice/) | Drafts U.S. SEC Form D notice data sets for Regulation D exempt offerings (Rule 504, 506(b), 506(c)), ready for EDGAR… |
| [`Form D Notice of Exempt Offering`](skills/form-d/) | Drafts SEC Form D Notice of Exempt Offering for EDGAR filing under Regulation D. |
| [`Fund Subscription Agreement`](skills/fund-subscription-agreement/) | Drafts U.S. investment fund subscription agreements aligned to PPM/LPA terms and securities law compliance. |
| [`Insider Trading Policy`](skills/insider-trading-policy/) | Drafts a U.S. financial-services insider trading policy covering MNPI definitions, preclearance, blackout windows,… |
| [`Intrastate Offering Compliance (Rule 147/147A)`](skills/intrastate-offering/) | Produces a compliance memo and execution plan for U.S. |
| [`Investment Advisory Agreement`](skills/investment-advisory-agreement/) | Drafts a U.S. Investment Advisory Agreement (IAA) for SEC- or state-registered advisers under the Investment Advisers… |
| [`Investors' Rights Agreement`](skills/investors-rights-agreement/) | Drafts a U.S. Investors'' Rights Agreement for VC/private equity financings, covering registration rights,… |
| [`Lock-Up Agreement`](skills/lock-up-agreement/) | Drafts U.S. IPO/secondary offering lock-up agreements restricting securityholder transfers and hedging during the… |
| [`State Merit Review Analysis`](skills/merit-review/) | Analyzes state merit review for non-covered securities offerings, applying NASAA Statements of Policy to cheap stock,… |
| [`Private Placement Memorandum (PPM)`](skills/private-placement-memo/) | Drafts a legally compliant Private Placement Memorandum for Regulation D offerings (Rule 506(b)/506(c)), covering full… |
| [`Private Placement Memorandum (PPM)`](skills/private-placement-memorandum/) | Drafts U.S. Regulation D Private Placement Memoranda (PPMs) with required legends, risk factors, capitalization,… |
| [`SEC Prospectus Draft`](skills/prospectus-draft/) | Drafts SEC-compliant prospectuses for securities offerings, structuring company data, financials, risk factors, and… |
| [`Securities Prospectus`](skills/prospectus/) | Drafts SEC-compliant prospectuses for U.S. securities offerings (IPOs, follow-ons, private placements). |
| [`Annual Meeting Proxy Statement`](skills/proxy-statement/) | Drafts a SEC Regulation 14A / Rule 14a-3 compliant annual meeting proxy statement (DEF 14A) covering notice,… |
| [`Suitability and Best Interest Policy (Reg BI)`](skills/reg-bi-policy/) | Drafts board-ready Suitability and Best Interest policies for broker-dealers under FINRA Rule 2111 and SEC Regulation… |
| [`Simple Agreement for Future Equity (SAFE)`](skills/safe-agreement/) | Drafts Simple Agreements for Future Equity (SAFE) for early-stage venture capital financing with valuation cap/discount… |
| [`Opinion of Counsel for SEC Filing`](skills/sec-opinion-letter/) | Drafts Opinion of Counsel letters for SEC registration statements, covering due incorporation, valid issuance,… |
| [`Securities Regulation Summary`](skills/securities-regulation-summary/) | Generates thematic compliance summaries of US securities regulation developments. |
| [`Shelf Registration Statement (Form S-3)`](skills/shelf-registration-s3/) | Drafts SEC Form S-3 shelf registration statements for eligible U.S. public companies under the Securities Act of 1933. |
| [`Transfer Agent Agreement`](skills/transfer-agent-agreement/) | Drafts U.S. transfer agent agreements between issuers and SEC-registered transfer agents covering appointment, stock… |
| [`Underwriting Agreement`](skills/underwriting-agreement/) | Drafts a firm-commitment underwriting agreement for SEC-registered U.S. |

## Cold-start context

See [`CLAUDE.md`](CLAUDE.md) — scope, forums, sources of law, citation discipline, and when this plugin does NOT apply.

## Provenance & license

Skills imported from open sources ([CaseMark/skills](https://github.com/CaseMark/skills), Apache-2.0). See each `SKILL.md` `author`/`author_url` for provenance. Plugin license: Apache-2.0.

## Disclaimer

These skills produce informational drafts and analyses, not legal advice. Verify against current law before use.
