Publications | Book
Investment Company Determination Under the 1940 Act: Exemptions and Exceptions, Third Edition
Business Law Basics | A company may not offer or sell securities unless the offering has been registered with the SEC or falls within an exemption from registration. This program will give potential issuer's counsel an idea of what is involved in registering a securities offering and taking a company public. Topics covered will include the IPO working group, general timeline and responsibilities, preparation of the registration statement, required executive compensation disclosures and best practices, listing on NASDAQ/NYSE, corporate governance considerations, and advantages to being an emerging growth company and/or a closely-held corporation. This program will be useful to those who may soon be participating in (or even leading) an IPO for the first time.
1.50 total credit hours including
General
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1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Available for credit
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Available for credit
1.50 credit hours
Available until:
02/21/2028
1.50 total credit hours including
Substantive Law
Status:
Available for credit
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
2.00 total credit hours including
General
Status:
Approved
2.00 credit hours
Available until:
12/31/2025
1.50 total credit hours including
General
Status:
Available for credit
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2025
1.50 total credit hours including
General
Status:
Applied for upon completion
1.50 credit hours
Available until:
12/31/2025
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2025
1.50 total credit hours including
General
Status:
Self apply
1.50 credit hours
Available until:
02/21/2028
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2025
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
12/31/2025
1.50 total credit hours including
General
Status:
Self apply
1.50 credit hours
Available until:
02/21/2028
1.50 total credit hours including
General
Status:
Applied for upon completion
1.50 credit hours
Available until:
02/21/2025
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
04/13/2025
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
1.80 total credit hours including
General
Status:
Available for credit
1.80 credit hours
Available until:
02/21/2028
1.50 total credit hours including
General
Status:
Self apply
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Self apply
1.50 credit hours
Available until:
02/21/2025
1.50 total credit hours including
General
Status:
Applied for upon completion
1.50 credit hours
Available until:
12/31/2025
1.50 total credit hours including
General
Status:
Available for credit
1.50 credit hours
Available until:
02/21/2026
1.80 total credit hours including
General
Status:
Reciprocity
1.80 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2028
1.50 total credit hours including
Areas of Professional Practice
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Applied for upon completion
1.50 credit hours
Available until:
02/28/2025
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
2.00 total credit hours including
General
Status:
Applied for
2.00 credit hours
Available until:
02/21/2026
1.50 total credit hours including
Substantive
Status:
Available for credit
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2025
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2025
1.50 total credit hours including
General
Status:
Available for credit
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Self apply
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Self apply
1.50 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Approved
1.50 credit hours
Available until:
02/21/2026
1.80 total credit hours including
General
Status:
Approved
1.80 credit hours
Available until:
02/21/2026
1.50 total credit hours including
Law & Legal Procedure
Status:
Approved
1.50 credit hours
Available until:
02/21/2028
1.80 total credit hours including
General
Status:
Applied for
1.80 credit hours
Available until:
02/21/2026
1.50 total credit hours including
General
Status:
Self apply
1.50 credit hours
Available until:
02/21/2026
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Federal Regulation of Securities
CL2302BLB04OLC
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2/22/2023 12:00:00 AM
Publications | Book
Investment Company Determination Under the 1940 Act: Exemptions and Exceptions, Third Edition
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Family Advocate Winter 2025: Vol. 47, No. 3
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