Track

Securities Offerings: Deal Documents and Due Diligence

An introduction to the main deal documents in a securities offering and the role, scope and process of conducting due diligence for various types of securities offerings.

This track qualifies for CLE. Select a jurisdiction for details.

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  1. still frame from The Due Diligence Process Preview

    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.

  2. still frame from Underwritten Offerings and Underwriters Preview

    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.

  3. still frame from Circle-Ups and Comfort Letter Review Process Preview

    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.

  4. 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.

  5. 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.

  6. still frame from Performing 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.