LAW 5246: Securities Regulation

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

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.

Prerequisites: 

Course Offerings

Class Number:
14674
Term:
Fall 2013-14
Professor(s):
Class Number:
15211
Term:
Fall 2011-12
Professor(s):