Registration Statements


  1. still frame from Rules and Regulations and Disclosure Concepts Preview

    Registration Statements

    Issuers that want to issue securities via registered offerings must file a registration statement with the SEC. This course discusses what registration statements are and the rules, regulations and disclosure concepts that apply to them.

  2. still frame from Form S-3 and Incorporation by Reference Preview

    Form S-3 and Eligible Filers

    The short-form registration statement on Form S-3 provide many benefits to qualifying issuers. This course discusses Form S-3 and the categories of issuers that can use them, including WKSIs and seasoned and non-seasoned issuers.

  3. still frame from Sample Form Checks Preview

    Form Checks

    A form check is an important part of a registered offering and helps limit an issuer’s liability under the securities laws. This course explains what form checks are and how to do them, and includes walkthroughs of sample form checks.