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Securities Regulation
Class Term:
Fall Term 2022-2023
Catalog Number:
5246
Professor(s):
Professor
Professor
Lecture
Credits:
3 (3 Contact, 0 Field)
Priority:
General Enrollment Course
Full Year Course:
No
Category:
Standard Courses
Grading Details
There will be a take-home final exam.
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.