U.S. Securities Regulation

Catalog description

This course provides a general overview of the regulation of the offer and sale of securities under the Securities Act of 1933 (Securities Act) and the reporting requirements under the Securities Exchange Act of 1934 (Exchange Act). Topics to be covered include: the definition of security, issues around registering securities for public sale, certain exemptions that permit sales without registration, aspects of the federal proxy rules, and certain of the antifraud provisions under the Securities Act and the Exchange Act, including Rule 10b-5, and insider trading. The course is designed for a student interested in gaining a general familiarity of the basics of the federal securities laws.