Engagement Letter: Unregistered Offerings | Practical Law

Engagement Letter: Unregistered Offerings | Practical Law

A form of engagement letter between an issuer and an investment bank for financial advisory and banking services in an unregistered offering of securities, such as a private placement or a Rule 144A offering. This Standard Document has integrated notes with important explanations and drafting and negotiating tips.

Engagement Letter: Unregistered Offerings

Practical Law Standard Document 5-530-6210 (Approx. 30 pages)

Engagement Letter: Unregistered Offerings

by Practical Law Corporate & Securities
Maintained • USA (National/Federal)
A form of engagement letter between an issuer and an investment bank for financial advisory and banking services in an unregistered offering of securities, such as a private placement or a Rule 144A offering. This Standard Document has integrated notes with important explanations and drafting and negotiating tips.
This resource does not reflect amendments to FINRA Rule 5110, which were approved by the SEC in December 2019 and all of which have taken effect by September 16, 2020. For more information on the amendments, see Legal Update, SEC Approves Proposed Amendments to FINRA Corporate Financing Rule 5110.