The Investor Relations Guidebook

15 Credits: Finance


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The Investor Relations Guidebook

Course Level
CPE Credits

15 Credits: Finance

Course Description

A public company should communicate with the investment community, to clarify how it creates value and to set expectations for its performance. The Investor Relations Guidebook is a valuable resource for dealing with investors. It delves into the construction of a value proposition for a business and how to communicate it to investors, as well as how to conduct an earnings call and provide guidance. The course also describes the various types of SEC filings, how to organize an annual shareholder meeting, the mechanics of road shows, and the steps involved in an initial public offering. In short, the Investor Relations Guidebook is the go-to resource for anyone wanting to engage in investor relations.

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Learning Objectives

•Recognize the components of the investor relations officer position.

•Specify the methods available for improving the value proposition of a business.

•Identify the methods used to communicate with the investment community.

•State the methods used to comply with Regulation FD.

•Cite the participants in and contents of an earnings call.

•Specify the circumstances under which guidance is used and not used.

•State the reasons for and applicability of a safe harbor provision.

•Cite the information to include in and features of an investor relations website.

•Identify the participants in and purpose of the sell side and buy side.

•Specify the investing strategies used by investors.

•Cite the short selling methods used, and how to deal with short sellers.

•Identify the listing requirements for the major stock exchanges.

•Specify the techniques used to manage shares.

•Identify the contents of the financial statements and various SEC filings.

•Identify the activities required to plan for and conduct an annual meeting.

•Cite the steps and special rules involved in an initial public offering, as well as alternative ways to go public.

•Specify the concept of restricted stock and how it can be avoided.

•Recognize the rules pertaining to the sale of shares under Rule 144.

•State the participants in a road show, and note how it is conducted.

•Identify the different types of investor relations services that are available to a company.

•Recognize the predictive capabilities of share performance measurements, and the analysis uses to which they can be put.

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Course Specifics

Course ID
Revision Date
November 29, 2022


Advanced Preparation


Compliance Information

NASBA Provider Number: 103220

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Meet The Experts

Steven M. Bragg Headshot

Steven M. Bragg, CPA, is a full-time book and course author who has written more than 250 business books and courses. He provides Western CPE with self-study courses in the areas of accounting and finance, with an emphasis on the practical application of accounting standards and management techniques. A sampling of his courses include the The New Controller Guidebook, The GAAP Guidebook, Accountants’ Guidebook, and Closing the Books: An Accountant’s Guide. He also manages the Accounting Best Practices podcast. Steven has been the CFO or controller of both public and private companies and has been a consulting manager with Ernst & Young and …

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