Registration Requirement Exemptions (LAW587)
Course Overview

In some cases, the offer and sale of securities are exempt from registration with the U.S. Securities and Exchange Commission (SEC), so understanding these exemptions can be critical for compliance and capital in your organization.

In this course, you will examine various types of exemptions along with their requirements, identifying the differences between a security exemption anda transactional exemption. You will consider why some securities are restricted and focus on the differences between an offering that is qualified under Regulation A versus an offering that is registered. You will also explore how different exempt offerings can be integrated as a single offering. In addition, you will consider regulations that permit an issuer to experiment and assess potential demand for an upcoming offering. Finally, you will investigate key secondary market exemptions involving resales of securities.

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

  • LAW585: Defining Security
  • LAW586: Securities Registration and Reporting

Certificates with this course
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