Due Diligence Checklist: Securities Offerings

Resource type: Checklist

Status: Maintained

Jurisdiction: USA

This Checklist summarizes key items to cover in a due diligence investigation for a securities offering. It provides practical advice for organizing the due diligence process and highlights issues and potential problems to consider when reviewing specific categories of issuer documents, including corporate records, business contracts and others. It does not cover business due diligence, financial and accounting due diligence or specialist due diligence. This Checklist is not a comprehensive list, but merely a guide to assist attorneys in focusing on important issues.

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Resource ID: 4-381-2990
Products: PLC US Corporate & Securities, PLC US Law Department
This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.

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Related content

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Topics

Non-US IssuersNon-US Issuers (http://uslf.practicallaw.com/5-383-5892)
Registered OfferingsRegistered Offerings (http://uslf.practicallaw.com/1-383-5894)
Unregistered OfferingsUnregistered Offerings (http://uslf.practicallaw.com/8-383-5895)

Practice Note: Overview

Conducting an Unregistered Offering: Overview Conducting an Unregistered Offering: Overview (http://uslf.practicallaw.com/topic3-385-2547)

Practice Notes

Accountant Due Diligence: Asking the Right Questions and Addressing the Answers Accountant Due Diligence: Asking the Right Questions and Addressing the Answers (http://uslf.practicallaw.com/topic8-500-7101)
Determining Materiality in Securities Offerings and Corporate Disclosure Determining Materiality in Securities Offerings and Corporate Disclosure (http://uslf.practicallaw.com/topic3-521-5541)
Due Diligence: Securities Offerings Due Diligence: Securities Offerings (http://uslf.practicallaw.com/topic4-380-7917)
Legal Opinions in Securities Offerings Legal Opinions in Securities Offerings (http://uslf.practicallaw.com/topic9-384-6469)
Liability Provisions: Securities Offerings Liability Provisions: Securities Offerings (http://uslf.practicallaw.com/topic6-381-1466)
OFAC Due Diligence in Securities Offerings OFAC Due Diligence in Securities Offerings (http://uslf.practicallaw.com/topic9-505-6167)
Raising Capital under Rule 144A and Regulation S: The Lawyer's Role Raising Capital under Rule 144A and Regulation S: The Lawyer's Role (http://uslf.practicallaw.com/topic5-385-3193)

Standard Documents

Accounting Due Diligence: Questions List Accounting Due Diligence: Questions List (http://uslf.practicallaw.com/topic4-504-4539)
Due Diligence Request List: Securities Offerings Due Diligence Request List: Securities Offerings (http://uslf.practicallaw.com/topic9-382-0983)

Help and Information Note

Risk Factor Practice Notes Risk Factor Practice Notes (http://uslf.practicallaw.com/topic3-508-9496)

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