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Syndicate Legal Advisory Services provides nationwide legal document preparation services for unit investment trusts preparing Form S-6 registration statements under the Securities Act of 1933. We prepare Form S-6 and related supporting materials based on the trust information, financial data, and specific instructions you provide. 

 

Documents Commonly Prepared

We prepare a full range of documents associated with a Form S-6 filing, including but not limited to:

  • Form S-6 Registration Statement: Completion of the registration statement, including the facing sheet, prospectus containing the information required by the form instructions (drawing from specified items of Form N-8B-2 and financial statements for the trust and depositor), undertakings, list of papers and documents, signatures, and related sections, based on the information and content you supply.

  • Prospectus and Related Sections: Formatting of the prospectus sections covering the required disclosures for the unit investment trust, based on the narratives, data, and materials you provide.

  • Financial Statement Materials: Organization and formatting of the required financial statements (including statements of condition and statements of income and other distributable funds) prepared in accordance with applicable provisions of Regulation S-X, based on the financial data you supply.

  • Exhibits and Consents: Organization and formatting of required exhibits, written consents, and other supporting documents, based on the materials you provide.

  • Amendments and Post-Effective Amendments: Preparation of amended registration statements or post-effective amendments to update the prospectus or other information, based on the corrected or updated details you provide.

  • Related Supporting Materials: Organization of attachments, signature pages, or other materials referenced in the registration statement, based on the information you supply.

 

Documents are prepared for use in connection with electronic filings through the SEC’s EDGAR system (subject to the information you provide). Form S-6 is the registration statement used for securities of any unit investment trust registered under the Investment Company Act of 1940 on Form N-8B-2; the prospectus must include specified information and financial statements; the registration statement must become effective before securities may be sold, and sponsors often file post-effective amendments to update the registration statement; clients remain fully responsible for determining eligibility to use Form S-6, the accuracy and completeness of all disclosures, timely electronic filing via EDGAR, and compliance with all Securities Act, Investment Company Act, Regulation S-X, and SEC requirements.

CM - IPO - SEC FORM S-6

$6,750.00Price
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DISCLAIMER: The information on this site is for informational purposes only and should not be taken as legal or financial advice. Requesting additional information or submitting information through this site or any contact form does not mean an attorney-client, or any other professional services provider-client relationship has been formed. Syndicate Legal Advisory Services is a legal advisory firm. As a legal advisory firm, Syndicate Legal Services provides guidance, analysis, compliance support, and strategic counsel on legal matters, but does not litigate, appear in court, or formally represent clients in legal proceedings.

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