Types of Securities and Offerings

An introduction to different types of securities and securities offerings, including an overview of the IPO process, greenshoe options, follow-on offerings, and shelf registrations and takedowns.

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

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  1. still frame from Equity Securities Preview

    Publicly Traded Securities

    A summary of the most common types of securities bought and sold in the financial markets, including debt, equity and hybrid securities.

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    Debt vs. Equity Offerings

    Debt and equity offerings are a lot alike, but there are important differences to be aware of. This course explains how debt deals differ from equity deals and focuses on the applicable rules and regulations, documentation, terminology, diligence and closings.

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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.

  5. still frame from What is a Follow-On Offering? Preview

    Follow-On Offerings

    The primary differences between follow-on offerings and IPOs. Covers deal process, timing and documentation.

  6. still frame from Shelf Registrations Preview

    Shelf Takedowns

    An overview of shelf takedowns and the applicable rules. Includes a discussion on shelf registration statements and how the shelf takedown process differs from other offerings in terms of timing, process and documentation.