Securities Regulation

Catalog description

Max Credit: (Max. 3) Considers the responsibilities and liabilities of a company and various persons involved in the public offering of securities, including the filing of a registration statement, and other disclosure matters. Deals with the definition of the term “security” and possible exemptions for securities offerings. Covers securities fraud under SEC Rule 10b-5 including, inter alia, insider trading. Corporate disclosure requirements in connection with matters such as proxy rules and in other contexts are also considered. Some attention is given to disclosure requirements in connection with mergers and acquisitions, takeovers, and tender offers.