Securities Offerings

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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.

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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.

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Underwriting Agreements

The Underwriting Agreement contains the main business terms of the deal between the issuer and the underwriters. This course provides a walkthrough of a typical Underwriting Agreement, using an example from Blue Apron's IPO, with explanations of its main provisions.

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Comfort Letters and Circle-Ups

Comfort Letters help give assurance to underwriters about an issuer’s financial information. This course provides a summary of what a Comfort Letter is and what it includes, and how to prepare Circle-Ups.