Finance

About this category:
Finance activities typically involve a variety of legal needs, including contract law, securities law, banking law, tax law, bankruptcy law, and corporate law. Additionally, finance activities may involve regulatory compliance, intellectual property law, and antitrust law.

Templates in this category:

Abbreviated Cash Tender Offer for Debt Securities (Press Releases & Announcements)

This template form is for announcing a cash tender offer for debt securities over a five business day period.

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Accounting Due Diligence Questions For Securities Offering

This online document provides a template for a list of questions to be used in an accounting due diligence investigation for a registered or unregistered securities offering.

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Adversary Proceeding Answer (Bankruptcy)

This is a template response to an adversary proceeding complaint in a bankruptcy matter.

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Adversary Proceeding Complaint For Turnover of Property by Non-Custodial Entity (Bankruptcy)

This document is a template complaint to be used to start a legal action to require a non-custodial entity to turn over property of the debtor or the estate under section 542 of the Bankruptcy Code.

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Adversary Proceeding Complaint Objecting to Discharge of Individual Chapter 7 Debtor (Bankruptcy)

This template is a complaint objecting to the discharge of an individual Chapter 7 debtor under section 727 of the Bankruptcy Code and Federal Rule of Bankruptcy Procedure 4004(a).

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Adversary Proceeding Complaint Requiring Prepetition Custodian to Turn Over Property (Bankruptcy)

This document is a template complaint to be used to initiate a legal action under the Bankruptcy Code to require a custodian to turn over property from a prior non-bankruptcy proceeding.

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Adversary Proceeding Complaint by a Creditor to Determine the Dischargeability of a Debt (Bankruptcy)

This template is a complaint by a creditor to determine that a debt owed to them is not dischargeable under Bankruptcy Code and Federal Rule of Bankruptcy Procedure.

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Adversary Proceeding Complaint for Injunctive Relief (Bankruptcy)

This document provides a template complaint for initiating an adversary proceeding for injunctive relief or extending the automatic stay to non-debtors in a Chapter 11 bankruptcy case, with an attached verification page.

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Adversary Proceeding Complaint to Avoid and Recover Fraudulent Transfers (Bankruptcy)

This online document is a template complaint and verification page to initiate a legal process to prevent and reclaim fraudulent transfers to a creditor under the Bankruptcy Code.

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Adversary Proceeding Complaint to Avoid and Recover Preferential Transfers (Bankruptcy)

This document is a template complaint and verification page to initiate an adversary proceeding to avoid and recover preferential transfers to a creditor under Bankruptcy Code sections 547 and 550.

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Adversary Proceeding Complaint to Object To or Determine Extent, Validity, and Priority of a Lien or Other Interest in Property (Bankruptcy)

This document provides a template complaint and verification page to object to or determine the extent, validity, and priority of a lien or other interest in property.

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Adversary Proceeding Complaint to Revoke Confirmation Order (Bankruptcy)

This document provides a template complaint and verification page to initiate an adversary proceeding to revoke a confirmation order obtained through fraud.

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Adversary Proceeding Complaint to Revoke Discharge of Individual Chapter 7 Debtor (Bankruptcy)

This document template provides guidance on filing a complaint to revoke the discharge of an individual Chapter 7 debtor under section 727(d) of the Bankruptcy Code.

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Adversary Proceeding Complaint to Subordinate a Claim (Bankruptcy)

This document provides a template complaint and verification page to initiate a subordination of a claim under sections 510(b) or (c) of the Bankruptcy Code.

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Affidavit of Lost Shares Certificate

This affidavit is used to certify the loss, theft, or destruction of a Shares certificate.

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Amendment by Supplemental Indenture Notice

This document is a template form of notice delivered to a trustee, instructing them to deliver a notice to holders of debt securities regarding amendments to the indenture.

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Application For Order Approving Appointment of Chapter 11 Trustee

This document is a template application for the approval of a Chapter 11 trustee under section 1104(d) of the Bankruptcy Code.

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Attorney-in-Fact's Certificate: Public Equity Offerings

The certificate attests to the underwriters that the selling Sharesholders are legally authorized to sell the Shares.

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Authentication Order: Private Debt Offerings

This document is a template form of letter authorizing a trustee to authenticate global note certificates for a Rule 144A or other private offering of debt securities.

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Backstop Equity Commitment Letter

This letter contract sets out the terms and conditions for a private equity investor to commit to a portion of a sponsor's equity financing commitment in a club deal buyout.

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Bad Actor Questionnaire: Regulation A Offering

This questionnaire is used to obtain information from persons covered by Regulation A's "bad actor" disqualification provision in order to determine if any of them have been involved in a disqualifying event.

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Bad Actor Questionnaire: Rule 506 Offering

This template provides a form questionnaire for obtaining information from persons covered by Rule 506(d) of Regulation D under the Securities Act, to determine if any disqualifying events have occurred.

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Bankruptcy Appeal (As of Right) Notice

This document is a notice of appeal to be used to start an appeal in bankruptcy court according to Rule 8003 of the Federal Rules of Bankruptcy Procedure.

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Bankruptcy Reclamation Complaint

This document is an outline of a reclamation complaint to be used in filing a reclamation claim under section 546(c) of the Bankruptcy Code.

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Bankruptcy Reclamation Demand Letter

This document is an outline demand letter for making a reclamation claim under section 546(c) of the Bankruptcy Code.

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Blood Letter

This template letter from underwriters to the issuer outlines the information provided for use in the prospectus or offering memorandum.

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Board Resolution Authorizing Chapter 11 Filing

This document provides a template form for a board resolution authorizing a company to commence a Chapter 11 case, with integrated notes and drafting tips.

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Broker-Dealer Financial Notifications Schedule

This template outlines the financial notifications that broker-dealers must submit to the SEC and FINRA.

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Broker-Dealer Recordkeeping Schedule

This document outlines the records broker-dealers must create and maintain in accordance with the Exchange Act and FINRA Rules.

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Brokerage Contract: Exclusive Right to Lease Listing Contract (Commercial Lease)

This online document provides a template brokerage contract that outlines favorable clauses for both the owner and broker, and can be tailored to meet the parties' needs.

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Brokerage Contract: Exclusive Right to Sell Listing Contract (Commercial Sale)

This online document provides a template form of brokerage contract that gives a broker the sole right to sell commercial real property on behalf of the owner, with clauses favorable to both parties that can be tailored to their needs.

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CFO Certificate: Securities Offering

This CFO certificate provides an outline tick-and-tie provision to cover capsule or "flash" financial information in an SEC-registered or unregistered offering.

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Call Option Contract

This call option contract outlines the terms and conditions of a Sharesholder's investment in a company, granting the company the right to purchase the Sharesholder's shares under certain circumstances while being reasonable and including common provisions.

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Cancellation of Auction and Designation of Stalking Horse Bidder as Successful Bidder Notice

This template provides a notice of cancellation of auction and designation of stalking horse bidder as the successful bidder in a Chapter 11 case in the US Bankruptcy Court when no qualified competing bids are submitted.

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Certificate of Company's Secretary: Public Debt Offerings

This document is a template form of a secretary's certificate for use in the closing of a registered offering of debt securities.

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Certificate of Designation of Preferred Shares (Convertible, Double-Dip Participating)

This document provides a template for a Certificate of Designation for a Delaware corporation issuing a series of convertible, double-dip participating preferred Shares in a private equity transaction.

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Certificate of Determination of Preferred Shares (California)

This document outlines the preferences for issuing preferred shares of stock for a California corporation.

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Certificate of Group Health Plan Coverage

This template provides a certificate of group health plan coverage based on a template published by the Department of Labor, with integrated notes for important explanations and drafting tips.

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Certificate of Incorporation (Blank Check Preferred Shares) (Delaware)

This online document is a certificate of incorporation for a Delaware corporation that includes a blank check preferred Shares provision, meeting the requirements of the Delaware General Corporation Law.

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Certificate of Insurance Requirements For Vendors

This document template outlines the insurance policies and limits of coverage required by the company from contractors, subcontractors, and vendors when entering into commercial contracts, including CGL, workers' compensation, employer's liability, commercial automobile liability, and umbrella and excess liability coverage.

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Certificate of LLC Interests (Mezzanine Loan)

This template provides a certificate of membership interests in a limited liability company to be used as collateral for a mezzanine loan, outlining the process of lien perfection and priority under the Uniform Commercial Code.

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Certificate of Transfer Agent & Registrar: Public Equity Offerings

This document is a certificate of the transfer agent and registrar delivered to the underwriters at the closing of a registered offering of equity securities.

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Chapter 11 Debtor Questionnaire

This online document is a template memorandum from bankruptcy counsel to its Chapter 11 debtor client, requesting preliminary information to commence a Chapter 11 proceeding with links to corresponding Standard Documents.

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Chapter 11 Debtor's Motion: Extend Exclusive Periods to File a Plan and Solicit Acceptances

This template motion seeks to extend the debtor's exclusive periods to file a plan and solicit acceptances under section 1121 of the Bankruptcy Code.

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Chapter 11 Individual Debtor Questionnaire

This questionnaire requests preliminary information from an individual debtor to prepare a Chapter 11 petition and assess eligibility for a small business case under the SBRA.

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Chapter 11 Liquidating Plan (After Going Concern Sale with Plan Administrator)

This online document is an outline template of a Chapter 11 liquidating plan to be used when most of the debtor's assets have been sold, and the proceeds and any remaining assets and causes of action are distributed through a plan administrator, with options for post-confirmation waiver or prosecution of causes of action.

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Chapter 11 Motion: Enforce the Automatic Stay (Delaware)

This template motion seeks permission from the US Bankruptcy Court for the District of Delaware to enforce and restate the automatic stay and ipso facto provisions of the Bankruptcy Code for a Chapter 11 debtor.

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Chapter 11 Motion: Enforce the Automatic Stay (SDNY)

This template motion seeks permission from the US Bankruptcy Court for the Southern District of New York to enforce and restate the automatic stay and ipso facto provisions of the Bankruptcy Code for a Chapter 11 debtor.

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Chapter 11 Plan of Reorganization (Secured & Senior Debt For Equity Exchange, Unsecured Claims Impaired)

This template form provides an outline of a Chapter 11 plan of reorganization, with integrated notes, drafting and negotiating tips, and optional clauses for use in prepackaged or pre-negotiated cases.

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Chapter 11 Plan of Reorganization (Secured Debt For Equity Exchange, Unsecured Claims Unimpaired)

This template form outlines a Chapter 11 plan of reorganization in which secured creditors exchange debt for equity and general unsecured creditors are paid in full.

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Chapter 11 Proposed Order Approving Motion: Enforce the Automatic Stay (Delaware)

This template proposes an order from the US Bankruptcy Court for the District of Delaware to enforce and restate the automatic stay and ipso facto provisions of the Bankruptcy Code for a Chapter 11 debtor.

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Chapter 11 Proposed Order Approving Motion: Enforce the Automatic Stay (SDNY)

This document seeks permission from the US Bankruptcy Court for the Southern District of New York to enforce and restate the automatic stay and ipso facto provisions of the Bankruptcy Code.

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Chapter 13 Debtor Questionnaire

This memorandum requests preliminary information from a Chapter 13 debtor client to prepare a petition and bankruptcy schedules.

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Chapter 7 Individual Bankruptcy Engagement Letter

This template letter contract outlines the terms and conditions of an attorney's representation of a Chapter 7 consumer debtor in a bankruptcy case, including the scope of services, fees, and other optional clauses.

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Chapter 7 Individual Debtor Questionnaire

This questionnaire requests the necessary information to begin a Chapter 7 bankruptcy case for an individual debtor.

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Claim: Occurrence-Based Liability Policy Notice

This template is a form letter for a policyholder to send to their liability insurer when a third-party brings or is likely to bring a claim that may be covered by the policyholder's insurance policy.

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Clawback Policy

This document template establishes a clawback policy to comply with Section 954 of the Dodd-Frank Act.

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Closing Agenda: Follow-On Equity Offering

This template provides a summary of the closing agenda for a follow-on equity offering, including the members of the working group, a summary of the registration process, and links to documents to be delivered at closing.

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Closing Agenda: Follow-On Equity Offering on Shelf Registration Statement

This template provides a closing agenda for a follow-on equity offering, summarizing the events of the registration process and listing the documents to be delivered at the closing.

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Closing Agenda: Initial Public Offering

This closing agenda template outlines the members of the working group, summarizes the events of the registration process, lists the parties and documents delivered at the closing of the offering, and includes links to forms and other closing deliverables, with special accommodations for EGCs.

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Closing Agenda: Registered Debt Offerings

This closing agenda template outlines the members of the working group, summarizes the events of the registration process, and lists the documents to be delivered at the closing of the offering.

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Closing Checklist: Public Debt Offerings (Non-Shelf Offerings)

This chart provides an overview of the documents used in a registered follow-on public offering of debt securities, including by an emerging growth company, and can be used to track the status of all documents.

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Closing Checklist: Public Equity Offerings (Non-Shelf Offerings)

This closing checklist is a document used to track the status of documents related to a traditional non-shelf follow-on public offering of equity securities, including offerings by emerging growth companies.

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Closing Checklist: Registered Offering of Investment-Grade Non-Convertible Debt Securities (Shelf Offering)

This document template provides a checklist to track the status of documents related to the closing of an offering of investment-grade non-convertible debt securities registered on a template form S-3 shelf registration statement under the Securities Act of 1933 by a US reporting company, with important explanations and drafting tips.

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Closing Checklist: Rule 144A/Regulation S Debt Offering

This chart provides a comprehensive overview of the documents used in an offering of debt securities under Rule 144A and Regulation S of the Securities Act, and can be used by counsel to monitor the progress of the documents.

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Closing Checklist: Supplemental Indenture Without Holder Consent

This chart provides an overview of the documents needed to execute a supplemental indenture without the consent of holders.

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Company Letter of Transmittal for Shares Certificates: Public Equity Offerings

This template letter of transmittal is for the certificates representing the Shares that were issued and sold in an offering by the company to the underwriters.

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Company's Receipt of Offering Proceeds: Public Equity Offerings

The company has confirmed receipt of the net proceeds from the offering of its common Shares to the underwriters via a receipt.

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Convertible Note Agreement (Genie AI)

Are you looking for a legal document to document a loan between a lender and a borrower? Our Convertible Note Agreement template is the perfect solution for you. This template outlines the rights and obligations of both the lender and the borrower, as well as the terms of the loan, the interest rate, the repayment terms, and the conversion terms. It is important to make sure that the terms of the loan are fair and reasonable for both parties, and that the lender and borrower are both aware of the risks associated with the loan. Furthermore, the conversion terms are clearly outlined so that the borrower understands the implications of converting the loan into equity. With our Convertible Note Agreement template, you can be sure that you have a legal document that covers all of the necessary details and protects both parties.

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Convertible Note Financing (Seed-Stage Startup) Term Sheet

This term sheet outlines the terms of a private placement of convertible promissory notes to accredited investors in accordance with federal securities regulations.

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Convertible Note Purchase Contract with Short-Form Note (Seed-Stage Startup)

This purchase contract is intended for early-stage startup companies to raise seed capital from accredited investors, such as angel investors, friends, and family, in reliance on Rule 506 of Regulation D or Section 4(a)(2) of the Securities Act.

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Corporate Policy on Insider Trading

This Standard Document provides a template form of corporate insider trading policy for a public company, with integrated notes and drafting tips, that prohibits insider trading and imposes additional restrictions on directors and officers.

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Counter Standby Letter of Credit

A counter standby letter of credit is a type of standby letter of credit used in international sale transactions to provide security to the seller.

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Counter-Guarantee

A counter-guarantee is a payment mechanism used in trade finance to provide credit support for international sale of goods transactions.

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Cross-Receipt: Public Debt Offerings

This document is a template form of receipt used to confirm the exchange of securities and net proceeds at the closing of a registered debt offering.

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Cross-Receipt: Rule 144A Offerings

A cross-receipt template is delivered at the closing of a Rule 144A offering of debt securities, confirming receipt of debt securities by initial purchasers and net proceeds by the issuer.

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Custodian Instructions to Transfer Agent: Public Equity Offerings

This template letter authorizes the transfer agent and registrar to issue Shares certificates to the underwriters who have purchased the Shares in the offering, with investors typically holding their Shares electronically through the Depository Trust Company.

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Custodian's Letter of Transmittal for Shares Certificates: Public Equity Offerings

This template letter of transmittal is for the certificates representing the Shares sold in the offering by the selling Sharesholders to the underwriters.

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Custodian's Receipt of Offering Proceeds: Public Equity Offerings

The custodian has confirmed receipt of the offering's net proceeds.

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Customer Account Contract (Securities Brokerage Firm)

This online document is a customer account contract template between a securities broker-dealer and its customer, outlining the legal relationship between the parties and the rights each of them has under the contract, including additional provisions for margin credit.

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Debt Securities: Pricing Term Sheet

This template provides an outline form of a pricing term sheet for non-convertible debt securities that can be used for both SEC-registered and unregistered offerings.

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Debtor Cash Flow For 30-Day Period after Filing For SDNY

This document template is a requirement for the debtor to file a 30-day cash flow as an exhibit to the declaration in support of the Chapter 11 case, as mandated by the Southern District of New York (SDNY) Local Bankruptcy Rule 1007-2.

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Debtor's Conversion of Chapter 12 Case to a Chapter 7 Case Notice

This document is a template notice of the conversion of a Chapter 12 bankruptcy case to a Chapter 7 bankruptcy case.

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Debtor's Conversion of Chapter 13 Case to a Chapter 7 Case Notice

This document is a template notice of the conversion of a Chapter 13 bankruptcy case to a Chapter 7 bankruptcy case.

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Debtor's Motion: Approve Structured Dismissal of Chapter 11 Case

This template motion seeks approval for a structured dismissal of a Chapter 11 case, including ancillary relief such as preservation of orders, distributions to creditors, abandonment of property, destruction of records, fee applications, dissolution of the debtor entity, and related relief.

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Debtor's Motion: Convert Chapter 11 Case to a Chapter 12 or 13 Case

This motion seeks to convert a Chapter 11 bankruptcy case to a Chapter 12 or Chapter 13 bankruptcy case.

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Debtor's Motion: Convert Chapter 11 Case to a Chapter 7 Case

This motion seeks to convert a Chapter 11 bankruptcy case to a Chapter 7 bankruptcy case under Section 1112(a) of the Bankruptcy Code and Federal Rule of Bankruptcy Procedure 1017(f)(2).

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Debtor's Motion: Convert Chapter 7 Case to a Chapter 11, 12, or 13 Case

This motion requests the conversion of a Chapter 7 bankruptcy case to a Chapter 11, 12, or 13 bankruptcy case under section 706(a) of the Bankruptcy Code and Federal Rules of Bankruptcy Procedure 1017(e).

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Declaration For Removal of Legend (Rule 904 Resale)

This document is a declaration for the removal of a restrictive legend from a certificate representing shares of common stock to allow for a resale exempt from registration under Rule 904 of Regulation S under the Securities Act of 1933.

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Declaration Regarding Consolidated List of Creditors Holding Largest Unsecured Claims

This document is a declaration signed by an officer of the debtor confirming the accuracy of a list of the largest unsecured claims filed with a Chapter 11 petition.

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Default to Capital Call for Private Equity Fund Notice

This template notice of default provides language for notifying limited partners investing in a private equity fund of potential options the general partner has regarding a capital call default.

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Deferred Shares Unit Contract (Non-Employee Directors)

This contract provides a template for granting DSUs to non-employee directors, as well as the option to convert annual retainers to DSUs.

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Delinquent Capital Contributions for Private Equity Fund Notice

This template notice provides language for notifying limited partners of a private equity fund of their delinquent capital contributions and potential options for the general partner.

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Demand Guarantee

This online document is a demand guarantee, a payment mechanism used in international sale of goods transactions as a form of credit support.

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Deposit Account Agreement (Genie AI)

Are you looking for a Deposit Account Agreement template that will protect both you and your financial institution? This template is designed to outline the rights and responsibilities of both parties, including the customer’s right to withdraw funds, the bank’s right to charge fees, and the bank’s right to close the account. It also outlines the bank’s policies regarding overdrafts, interest rates, and other account features. Additionally, this template ensures that all applicable laws and regulations are met. With this template, you can rest assured that your funds are secure and your rights are protected.

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Director Letter of Resignation: Shares Acquisition

This is a template letter of resignation for a director of a corporation following a Shares acquisition.

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Director Shares Election

This template form allows non-employee directors to elect to receive compensation in the form of company shares instead of cash.

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Dispositive Motion in FINRA Arbitration

This document is a template dispositive motion that can be used in an industry or customer arbitration before FINRA.

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Due Diligence Request List: Securities Offerings

This document is an outline of due diligence requests sent to an issuer for a registered or unregistered offering of debt or equity securities.

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Equity Award Agreement (Genie AI)

Are you looking for a comprehensive Equity Award Agreement template? This template is designed to help you create an agreement that is clear, compliant, and fair to both parties. It covers a variety of important legal issues, including the type of equity award, vesting schedule, restrictions, conditions, and tax implications. This template also ensures that the agreement is properly documented and signed by both parties, so you can be sure that your agreement is legally binding. With this Equity Award Agreement template, you can rest assured that your agreement is secure and enforceable.

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