1: Overview of Securities Regulation

2: Prospectus, Due Diligence, Civil Liability

3: Stock Exchange Listings, Exempt Financings

4: Continuous Disclosure

5: Contacts with Regulators

6: Take-Over Bids

The course begins with an examination of essential concepts of securities regulation and covers topics directly relevant to securities practice including tactics for dealing with securities regulators.   Register today.

Take advantage of the series discount and sign up for all 6 programs! When you complete the full course you will know:

• How to make an application to a securities regulator,
• Which regulators are responsible for dealing with various kinds of typically encountered securities matters,
• Who to contact and when,
• The key distinction between statutory requirements, rules and policy and the importance of the "unwritten rules" of the regulatory environment.

The Faculty