Securities Regulation

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General Enrollment Course

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.

Course Offerings 2015-2016

Term Class # Professor
Fall Term 2015-2016 14120
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Course Offerings 2014-2015

Term Class # Professor
Fall Term 2014-2015 14360
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