Securities Regulation

Course Catalog Number: 
5246
Course Credits: 
3
Course Type: 
Lecture
Course Priority: 
General Enrollment Course

This elective course surveys the legal and regulatory framework for publicly and non-publicly traded securities. The course covers the Securities Act of 1933, the Securities Exchange Act of 1934, and a variety of other statues. This course focuses on procedural and substantive aspects of registration, distribution, and trading of securities, including liabilities for fraud and other misconduct. No exposure to accounting, economics, or finance is necessary or presumed.

Course Offerings 2018-2019

Term Class #
Spring Term 2018-2019
Professor: 
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Course Offerings 2017-2018

Term Class #
Fall Term 2017-2018 13808
Professor: 
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Course Offerings 2016-2017

Term Class #
Fall Term 2016-2017 13960
Professor: 
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