LAW586 - Securities Registration and Reporting

Course Description

In securities regulation, it is important to understand what needs to be reported publicly in filings with the U.S. Securities and Exchange Commission (SEC) and when those requirements are triggered.

To gain this skill set, this course will guide you through the SEC reporting requirements as you examine the types of information that must be publicly provided to regulators and investors. You will examine key definitions, including what constitutes an offer and a sale. You will also explore registration statements, inspecting their contents and comparing them to prospectuses. As you progress through the course, you will develop skills to help you understand the registration process and how to avoid common pitfalls. In addition, you will consider the reach of the U.S. registration requirements outside the country. Finally, you will explore the key components of a company’s public disclosures and investigate how those disclosures are made as well as the ways in which disclosure requirements can be used to shape public company behavior.

You are required to have completed the following course or have equivalent experience before taking this course:

• LAW585: Defining Security

Faculty Author

Benefits to the Learner

• Examine the basics of securities registration under the Securities Act and what it means for securities to be registered with the SEC
• Identify the key components in the registration process
• Explore the various roles and regulations of continuous reporting by public issuers

Target Audience

• Finance professionals
• Investors and investment professionals
• Lawyers
• Business leaders
• Compliance and risk management professionals
• Procurement professionals
• Fundraising professionals

Applies Towards the Following Certificates

• Securities Law : Core Courses