Securities RegulationClass Term:
Spring Term 2019-2020Catalog Number:
3 (3 Contact, 0 Field)Priority:
General Enrollment CourseFull Year Course:
The final grade is based on an open-book in-class examination.
This course deals with the primary regulatory techniques created under the Securities Act of 1933 and the Securities Exchange Act of 1934 as applicable to (i) public and non-public offerings of securities and (ii) after-market trading. Consideration will be given to the SEC registration process and the common bases for exemption from registration; duties imposed upon issuers and insiders; and civil liabilities for fraud and other violations.