---
title: "Prepare the Appendix 3B and Appendix 2A lodgement data for an issue of securities"
url: "https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/prepare-the-appendix-3b-and-appendix-2a-lodgement-data-for-an-issue-of-s"
type: "task"
site: "AI Law Framework"
id: "A4-X20260927-3"
practice_area: "Capital Markets & Securities — ECM/DCM and Disclosure"
tier: "green"
lawyer_review: "required"
last_reviewed: "2026-10-22"
---

# Prepare the Appendix 3B and Appendix 2A lodgement data for an issue of securities

> Populate the prescribed form fields from the board resolution, the register and the offer timetable, carry through the capacity figures already settled, and flag any field with no source document behind it.

Canonical page: https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/prepare-the-appendix-3b-and-appendix-2a-lodgement-data-for-an-issue-of-s  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Capital Markets & Securities — ECM/DCM and Disclosure](https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure.md) |
| Human involvement | Green: AI drafts, lawyer checks |
| How AI is used | Populate the prescribed form fields from the board resolution, the register and the offer timetable, carry through the capacity figures already settled, and flag any field with no source document behind it. |
| What the lawyer must review | The lawyer checks every figure against the resolution and register, confirms which notification rule and deadline applies, and reads the Appendix 2A warranties — including the on-sale warranty — against the facts before lodgement. |
| Written for / versions | 1 jurisdiction versions below |

## Checking plan

**Lawyer review required**

The responsible lawyer reviews the work against the instructions, sources and intended use.

- What the AI does: Populate the prescribed form fields from the board resolution, the register and the offer timetable, carry through the capacity figures already settled, and flag any field with no source document behind it.
- What the lawyer does: The lawyer checks every figure against the resolution and register, confirms which notification rule and deadline applies, and reads the Appendix 2A warranties — including the on-sale warranty — against the facts before lodgement.
- Who reviews: Responsible lawyer with competence in the matter
- Basis: Practical workflow informed by the linked primary sources; the traffic light and working checks are editorial guidance, not a court classification.
- Why: The level reflects what the work is, the consequence of an error, and how much of the output the lawyer must independently re-derive.

## Checks the lawyer makes

1. Confirm the instructions, the jurisdiction and the complete relevant material before starting.
2. The lawyer checks every figure against the resolution and register, confirms which notification rule and deadline applies, and reads the Appendix 2A warranties — including the on-sale warranty — against the facts before lodgement.
3. Check the output against the source documents named in it before it is relied on.

## Notes

- These are suggested working checks. Confirm the required checking with the responsible lawyer before work starts; the checking approach does not establish permission to use AI.

## Sources

- [https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn30-quotation-of-additional-securities.pdf](https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn30-quotation-of-additional-securities.pdf) (checked 2026-09-27)
- [https://www.asx.com.au/documents/rules/Chapter03.pdf](https://www.asx.com.au/documents/rules/Chapter03.pdf) (checked 2026-09-27)
- [https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn25-issues-of-equity-securities.pdf](https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn25-issues-of-equity-securities.pdf) (checked 2026-09-27)

## Forms and precedents for this task

| Form or precedent | Kind | AI level | Summary |
| --- | --- | --- | --- |
| [Form D notice of sales checklist](https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure/us-form-d-notice-checklist.md) | Checklist | Yellow | Filing checklist for a Rule 503 notice of sales on Form D. It records the timing, the amendment exceptions and the EDGAR signature rule. It does not reproduce Form D. |

Signed-in accounts can read the full text of each one.

## Jurisdiction versions

| Jurisdiction | Level |
| --- | --- |
| [United States](https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/prepare-the-appendix-3b-and-appendix-2a-lodgement-data-for-an-issue-of-s/united-states.md) | Red |

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*