Securities Offerings

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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.

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The Deal Team in a Registered Offering

A brief overview of the key players involved in a securities offering and their responsibilities. Describes the roles of issuers, underwriters, accountants and lawyers.

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The IPO Process

An overview of the initial public offering process, including a discussion on due diligence, preparing and filing the registration statement, the SEC review and comment process, pricing and closing.

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Greenshoe Options (Overallotments)

A summary of what a greenshoe option (or overallotment) is and how it works, including an overview of the process and the documentation involved when the option is exercised.

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Due Diligence for Securities Offerings

An introduction to the due diligence process in a securities offering, including what due diligence is and why it matters, the scope of diligence based on the type of offering and how diligence reviews relate to Sections 11 and 12 of the 1933 Act.

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Closing a Registered Securities Offering

A discussion of the closing process for debt and equity securities offerings, including the responsibilities of the parties, preparing a closing checklist and typical closing documents.