Category

Registration Statements

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.

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.

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.