Securities Regulation

Course Catalog Number:
5246
Course Credits:
3
Course Type:
Lecture
Course Priority:
General Enrollment Course
Full Year Course:
No

Course Description

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 2024-2025

Term Class #
Fall Term 2024-2025

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Course Offerings 2023-2024

Term Class #
Spring Term 2023-2024

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Professor

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Course Offerings 2022-2023

Term Class #
Fall Term 2022-2023

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Professor

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