Securities
Skill packages tagged with “Securities”
10-K Risk Factors (Item 1A)
Draft and validate the Risk Factors section of a Form 10-K under Reg S-K Item 105: organize by materiality, write company-specific narratives, add a two-page summary when the section exceeds 15 pages, and validate structure and compliance.
MD&A — Driver-Based Drafting (Item 303)
Draft Management's Discussion and Analysis for 10-K or 10-Q with a driver-based structure: results of operations, liquidity and capital resources, known trends and uncertainties, and critical accounting estimates. Includes validation for required subsections, causation language, and non-GAAP reconciliation.
SEC DEF 14A (Proxy Statement)
Draft and validate annual meeting proxy statements for U.S. domestic issuers: meeting and voting mechanics, proposals, director nominees, beneficial ownership, executive compensation (scaled for SRC/EGC), audit matters, and Part III 10-K incorporation mapping.
SEC Form 10-Q (Quarterly Report)
Generate and validate quarterly Form 10-Q narrative sections and checklists, with delta-focused updates, Risk Factors (material changes only), Legal Proceedings, Controls and Procedures, and consistency checks.
SEC Form 4 (Section 16)
Generate Form 4 drafts from insider transaction details: map to transaction codes and tables, draft footnotes (tax withholding, 10b5-1, indirect ownership), and validate for Rule 16a-3 and two-business-day filing.
SEC Form 8-K (Current Report)
Draft and validate SEC Form 8-K filings for any reportable corporate event, with item mapping, compliance checks, and standard legal language.