Syndicate Legal Advisory Services provides nationwide legal document preparation services for Tier 2 Regulation A issuers preparing Form 1-U current reports. We prepare Form 1-U and related supporting materials based on the event details, company information, and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with a Form 1-U filing, including:
Form 1-U Current Report: Completion of the report covering the applicable triggering event item(s) (such as fundamental changes in the business, bankruptcy or receivership, material modification of securityholder rights, changes in certifying accountant, non-reliance on previously issued financial statements, changes in control, departure of principal executive, financial, or accounting officers, or unregistered sales of equity securities), based on the information and content you supply.
Exhibits: Organization and formatting of any required or optional exhibits (such as agreements, press releases, or accountant letters), based on the documents and information you provide.
Amendments (Form 1-U/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-U is the current report required of Tier 2 Regulation A issuers for specified material events, generally due within four business days after the triggering event (unless the information was previously reported on Form 1-K or Form 1-SA); it is the Regulation A counterpart to Form 8-K with a narrower set of items; Tier 1 issuers are not subject to Form 1-U; clients remain fully responsible for determining whether a filing is required, identifying the correct item and deadline, the accuracy and completeness of all disclosures, timely EDGAR filing, and compliance with Regulation A (Rule 257) and SEC requirements.
