6-Hour Program

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Overview

Why You Should Attend

This course will provide a solid understanding of the legal framework for securities offerings under the Securities Act of 1933. Topics covered include the basics, such as definitions and regulations of “offers” and “sales” of “securities” and the distinctions between public and private offerings, including the need to register public offerings (and how that is done) and basic exemptions from registration.  It will also cover important and ever-evolving topics, such as “working effectively with the SEC,” the current SEC agenda affecting the registration process, including current approaches to disclosure, publicity restrictions and the evolution of the JOBS Act.  The course will also cover the critical financial information that forms the backbone of disclosures in securities offerings, including: annual and interim financial statements, management’s discussion & analysis, the SEC’s rules concerning disclosure of so-called “non-GAAP financial measures” and other developments in disclosure documents.

What You Will Learn

This program simulates a public offering from start to finish: from an introduction to fundamental securities law concepts along with a focus on how the law translates into the mechanics of doing a public offering, to working with the SEC and applicable stock exchange, to the closing dinner. The “how to do it” approach includes the preparation of registration statements, the SEC review and comment process, stock exchange listing and pricing mechanics. Throughout the day, the course will focus on current “hot topics” impacting the offering process.

Credit Details