Securities Law

Catalog description

Examines the legal and regulatory environment relevant to financial markets. Students will learn how rules related to the Securities and Exchange Commission and other regulatory bodies regulate and preserve the integrity of securities transactions and practices. Topics will also include the legal and ethical responsibilities of corporate managers and executives, accountants, underwriters, and broker-dealers, as well as the global and transnational aspects of securities transactions. Students gain experience identifying and resolving potential violations of securities laws and ensuring that an organization is in full legal compliance with relevant regulations.