Everyone’s Got an Opinion: Legal Opinions in Securities Offerings Checklist

Securities offering opinions are complex, negotiated documents that reflect careful research and analysis. Use this checklist when preparing a legal opinion and supporting documents for an issuer, to be delivered at closing to the underwriters of a registered offering or the initial purchasers of an unregistered offering.

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Related Content

• Legal Opinion Letter (Private Placement, Equity Securities) (Issuer’s Counsel)
  Draft an opinion for the issuer of common or preferred stock in a private offering.
• Legal Opinion (IPO Closing) (Issuer’s Counsel)
  Opine on matters regarding the company, its stock, and the offering in an IPO.
• Legal Opinion (Rule 144A and/or Regulation S Debt Offering) (Issuer’s Counsel)
  Satisfy this closing condition for a Rule 144A and Regulation S debt offering.
• 10b-5 Letter (IPO)
  Provide the negative assurance needed to move forward with an IPO.

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