About this Course
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 responsibilities, including liabilities, of issuers of securities and its officers and directors, brokers, attorneys and other participants in the distribution and trading processes, and issues regarding "insider" trading, are considered. Brief study is also made of the regulation of broker-dealers, investment advisors and investment companies. We will also review various provisions of the Sarbanes-Oxley Act of 2002, with respect to disclosure and corporate governance initiatives affecting publicly-held companies.