Understanding the IPO process is an essential skill for both legal and business advisors. With the improvement in the markets, IPOs are happening with increasing frequency. In addition, last April, Congress enacted IPO “on ramp” provisions in the JOBS Act that made becoming a public company even easier for “emerging growth companies,” which represent almost 90% of the IPO market. If you have not worked on an IPO recently, now is the time to refresh and hone your skills and learn about changes in market practice as a result of the JOBS Act.
We have assembled a faculty of experts, including securities lawyers and litigators, an underwriter, and a member of the Securities and Exchange Commission staff. Each speaker will look at the offering from the perspective of his or her respective discipline as together they guide you through the initial public offering process.
Lecture Topics [Total time 06:02:11]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- An Overview of the IPO Registration Process [01:10:38]
Deanna L. Kirkpatrick, Laird H. Simons III
- Underwriting Agreements, Due Diligence and Potential Liabilities [01:03:44]
John J. Clarke, Jr., Eileen J. Shin
- Comfort Letters and Accounting Considerations [00:58:53]
Deanna L. Kirkpatrick, Laird H. Simons III
- Communications During Registration and the SEC's Role in the IPO Process [01:03:52]
Mara L. Ransom, Laird H. Simons III
- The Underwriter's Perspective [00:54:05]
Adam S Rosenbluth
- Special Considerations for Foreign Private Issuers and Market Practice Under the JOBS Act One Year Later [00:50:59]
Maurice Blanco, Deanna L. Kirkpatrick
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- Pre-Offering Planning
Laird H. Simons III
- How to Prepare an Initial Public Offering: The Registration Process - Overview and Selected Considerations
Deanna L. Kirkpatrick
- How to Prepare an Initial Public Offering: Potential Liabilities
John J. Clarke, Jr.
- How to Prepare an Initial Public Offering: Due Diligence: A Practical Guide
Lisa Firenze
- How to Prepare an Initial Public Offering: Underwriting Agreements and the FINRA Review Process and Other Relevant FINRA Rules
Eileen J. Shin
- Prospectus Financial Information and Other IPO Accounting Considerations
Laird H. Simons III
- How to Prepare an Initial Public Offering: Negotiating Comfort Letters
Deanna L. Kirkpatrick
- Memorandum: Publicity Before and After Filing an IPO Registration Statement
Laird H. Simons III
- How to Prepare an Initial Public Offering: The Underwriters’ Perspective
Eric Wooley
- How to Prepare an Initial Public Offering: Market Practice Under the Jumpstart Our Business Startups Act One Year Later
Deanna L. Kirkpatrick
- Offering or Listing Shares in the United States - A Guide for Foreign Companies
Maurice Blanco
- How to Prepare an Initial Public Offering: Considerations at the Planning Stage (PowerPoint Slides)
Laird H. Simons III
- How to Prepare an Initial Public Offering - 2013: The Registration Process (PowerPoint Slides)
Deanna L. Kirkpatrick
- How to Prepare an IPO: Due Diligence and Potential Liabilities (PowerPoint Slides)
John J. Clarke, Jr., Lisa Firenze
- How to Prepare an Initial Public Offering 2013: Underwriting Agreements and the FINRA Review Process (PowerPoint Slides)
Eileen J. Shin
- Accounting Considerations in IPOs (PowerPoint Slides)
Laird H. Simons III
- How to Prepare an Initial Public Offering - 2013: Negotiating Comfort Letters (PowerPoint Slides)
Deanna L. Kirkpatrick
- How to Prepare an Initial Public Offering: Gun Jumping or Conditioning the Market (PowerPoint Slides)
Laird H. Simons III
- Market Practice in IPOs Under the JOBS Act One Year Later (PowerPoint Slides)
Deanna L. Kirkpatrick
- Index to How to Prepare an Initial Public Offering 2013
Presentation Material
- An Overview of the IPO Registration Process
Deanna L. Kirkpatrick
- An Overview of the IPO Registration Process
Deanna L. Kirkpatrick
- An Overview of the IPO Registration Process
Deanna L. Kirkpatrick
- An Overview of the IPO Registration Process
Laird H. Simons III
- Underwriting Agreements, Due Diligence and Potential Liabilities
John J. Clarke, Jr., Lisa Firenze
- Underwriting Agreements, Due Diligence and Potential Liabilities
Eileen J. Shin
- Comfort Letters and Accounting Considerations
Deanna L. Kirkpatrick
- Comfort Letters and Accounting Considerations
Laird H. Simons III
- Communications During Registration and the SEC's Role in the IPO Process
Laird H. Simons III
- The Underwriter's Perspective
Eric Wooley
- Special Considerations for Foreign Private Issuers and Market PracticeUnder the JOBS Act One Year Later
Maurice Blanco
- Special Considerations for Foreign Private Issuers and Market Practice Under the JOBS Act One Year Later
Deanna L. Kirkpatrick
PLI makes every effort to accredit its On-Demand Web Programs and Segments. Please check the CLE Calculator above for CLE information specific to your state.
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Minnesota approves live webcasts ONLY
Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.
*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.
Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.