Syndicate Legal Advisory Services provides nationwide legal document preparation services for Tier 2 Regulation A issuers preparing Form 1-K annual reports. We prepare Form 1-K and related supporting materials based on the company information, financial data, and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with a Form 1-K filing, including:
Form 1-K Annual Report: Completion of Part I (XML notification data covering issuer identity, prior Regulation A offering information, and related details) and Part II (narrative sections covering business description, management’s discussion and analysis of financial condition and results of operations, directors and executive officers, executive compensation, security ownership, related-party transactions, and other required items), based on the information and content you supply.
Financial Statement Materials: Organization and formatting of the required audited financial statements (generally two years, prepared under U.S. GAAP or, for Canadian issuers, IFRS as issued by the IASB), based on the financial data you supply.
Exhibits: Organization and formatting of required exhibits, based on the documents and information you provide.
Amendments (Form 1-K/A): Preparation of amended reports incorporating updates or corrections, based on the corrected or updated details you provide.
Related Supporting Materials: Organization of attachments, signature pages, or other materials referenced in the form, based on the information you supply.
Documents are prepared for electronic filing through the SEC’s EDGAR system. Form 1-K is the annual report required of Tier 2 Regulation A issuers (offerings up to $75 million in a 12-month period) for the fiscal year of qualification and subsequent years, due within 120 calendar days after fiscal year-end; it includes audited financial statements (auditor need not be PCAOB-registered); Tier 1 issuers are not subject to Form 1-K; clients remain fully responsible for determining the filing obligation, the accuracy and completeness of all disclosures and financial statements, timely EDGAR filing, and compliance with Regulation A (Rule 257) and SEC requirements.
