Silicon Valley Business School

IPO & Securities Regulation

In the United States, the sale of shares and other securities to the public is highly regulated. Anyone raising finance from U.S. investors needs a good understanding of what forms of activities and investment structures are tolerated by the SEC and other regulatory bodies. This module provides the student with an understanding of the IPO process, the primary regulatory controls in the United States and the costs and benefits of IPO for startup entrepreneurs. Note: Key aspects of the US securities regulations are mirrored in most countries, and the principles covered in this module are applicable to raising finance in many different parts of the World.

Free Course Sections
Below you have free access to some of the learning materials in each section of this course. These are provided for you to educate yourself on the course content. If you want to gain a good understanding, we recommend you watch each video and read all the materials in each section before moving along to the next section.

Securities: U.S. Securities Exchange Commission (SEC)
Securities: IPO & Registration
Securities: The Quiet Period
Securities: Public Disclosure of Material Information
Securities: Exemptions from Registration
Securities: Regulation "D" Exemption
Securities: Regulations Applied to Startup Ventures
Securities: Alternative Exits for Founders and Investors in Startup Ventures
Securities: Insider Trading & Other Securities Liabilities
Securities: Selling Securities using modified SEC Registration Procedures
Securities: Crowdfunding
Securities: Brokers, Dealers & Exchanges
Certificate Course
The Certificate Course covers the same material, but tracks your progress and tests you in each section. Once you have passed all the quizzes in the Certificate Course, you will be awarded a certificate of completion.

See Certificate Course