Securities Regulation

Catalog description

This course is a survey of the federal securities laws that govern how securities like corporate stocks are issued, distributed, and traded. Topics include what securities are, the mandatory disclosure system, securities fraud, what investors find important, insider trading, public and private offerings of securities, resale transactions, liability, and enforcement. Primary focus is on the Securities Act of 1933 and the Securities Exchange Act of 1934, with limited attention to state "blue sky" securities legislation.