SCOR Form: V. Exhibits
Description
This article is from the Investing Articles: Public Offerings: IPO and DPO series.
SCOR Form: V. Exhibits
There shall be filed with the Administrator at the same time as the filing of the Form U-7 copies of each of the following documents to the extent applicable as exhibits to which the Administrator may refer in reviewing the Form U-7 and which will be available for public inspection by any person upon request.
1. Form of Selling Agency Agreement.
2. Company's Articles of Incorporation or other Charter documents and all amendments thereto.
3. Company's By-Laws, as amended to date.
4. Copy of any resolutions by directors setting forth terms and provisions of capital stock to be issued.
5. Any indenture, form of note or other contractual provision containing terms of notes or other debt, or of options, warrants or rights to be offered.
6. Specimen of security to be offered (including any legend restricting resale).
7. Consent to service of process (Form U-2) accompanied by appropriate corporate resolution (Form U-2A).
8. Copy of all advertising or other materials directed to or to be furnished investors in the offering.
9. Form of escrow agreement for escrow of proceeds.
10. Consent to inclusion in Disclosure Document of Accountant's report.
11. Consent to inclusion in Disclosure Document of Tax Advisor's opinion or description of tax consequences.
12. Consent to inclusion in Disclosure Document of any evaluation of litigation or administrative action by counsel.
13. Form of any Subscription Agreement for the purchase of securities in this offering.
14. Opinion of Counsel required in paragraph III. D. of these Instructions.
15. Schedule of residence street addresses of Officers, Directors and principal stockholders.
16. Work Sheets showing computations of responses to Questions 6, 7(a), 8(a), 8(b) and 17(b), using forms attached to these Instructions.
15000267.MIS
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