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Training Guide

US Securities Law for Securities Offerings


Training Guide

US Securities Law for Securities Offerings

Securities Offerings
Remote or in person

What’s Covered

  • The 1933 Act
  • The 1934 Act
  • The Trust Indenture Act of 1939
  • The Sarbanes-Oxley Act of 2002
  • The JOBS Act of 2012
  • Blue-sky laws

Before the Session

Prepare the Attendees

Send the attendees an invitation for the session. Include this link, which has the videos and exercise they’ll need to prepare.

Prepare Yourself

Watch the videos and read the exercise so you’re familiar with the Hotshot material.

During the Session

Part 1: Knowledge Check
Ask attendees these questions to ensure they understand the topic:
  • Where are most of the disclosure requirements for securities offerings found? 
  • What are the two parts of a registration statement?
  • What liabilities are companies exposed to under the 1933 Act? 
  • What are some common types of offerings and securities that are exempt from registration with the SEC?
  • What are the key differences between the 1933 Act and the 1934 Act?
  • Which act is designed to protect the rights of holders of notes, bonds, and debentures?
  • How does the JOBS Act make it easier for emerging growth companies to raise capital? 
  • What offerings does federal legislation preempt from blue-sky registration requirements? 
Part 2: Group Exercise
Lead a group discussion based on the exercise. To encourage collaboration, divide the attendees into groups to discuss the exercise, then have a representative from each group summarize their views to the larger group. Call on people to share their thoughts and ask others to respond.
Tip for remote sessions: use your web conferencing system’s breakout room feature to divide people into groups.
Part 3: War Stories and Firm Specifics
Share your own experiences and guidance, including:
  • Anecdotes and war stories (e.g., about a near-disaster or a tough negotiation)
  • General practice tips (dos and don’ts)
  • Firm-specific guidance and practices

After the Session

To continue their learning, attendees can check out related courses in Hotshot’s Securities Offerings topic.

About Hotshot

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