Securities Regulation



2014 Spring

About This Class

This course introduces students to the federal laws and regulations designed to protect investors in the U.S. We identify the registration and disclosure requirements for securities offerings as well as the ongoing disclosure and other requirements associated with secondary market distribution. We explore the context and content of the first federal securities law of the 1930s through the most recent law affecting the financial markets, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. We cover the potential liability of various players involved in the offering and sale of securities, including issuers, officers, directors, brokers, dealers, attorneys, auditors and other participants. We consider issues regarding "insider" trading. Brief study is also made of the role of financial intermediaries such as broker-dealers, investment advisers, mutual funds and other investment companies.
A study of federal law and the rules of the Securities and Exchange Commission concerning the registration, distribution and trading of securities, and legal and regulatory aspects of the securities industry.  The course considers the responsibilities and liabilities of issuers of securities, its officers and directors, brokers, attorneys, and other participants in the distribution and trading processes, as well as issues regarding "insider" trading.

Class Code



Business Law