Self-Paced Online Course: IPO & Securities Regulation

Study Hours: 15

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.

Learning Objectives and Outcomes

Upon completion of this course you will be able to:

  • Describe how the sale of shares, bonds and other securities are regulated with rules administered by the Securities Exchange Commission in the U.S.
  • Appreciate when and how the sale of shares and other securities have to be registered with the SEC, and identify the point at which a company is required to start filing reports with the SEC and is required to conform with Sarbanes Oxley regulations.
  • Identify the steps in the process of registering a company (with the SEC) and selling shares in a U.S. initial public offering (IPO).
  • Appreciate how startup and smaller companies qualify for exemptions to escape the burden of registering their shares with the SEC when raising finance from venture investors and other accredited investors.

Course Sections

The course is organized into the following sections:

  • Securities: IPO & Registration
  • 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: The Quiet Period
  • Securities: Public Disclosure of Material Information
  • Securities: Crowdfunding
  • Securities: U.S. Securities Exchange Commission (SEC)
  • Securities: Selling Securities using modified SEC Registration Procedures
  • Securities: The Basics
  • Securities: Brokers, Dealers & Exchanges

Course Information:
Study Hours: 15

Enroll Anytimefirst create an SVBS account.

Scroll to Top