Securities Regulation



2015 Fall

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.
Method of evaluation: take-home exam or paper. Written paper may satisfy the AWR requirement. (Check AWR requirements in the Student Handbook).

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