Securities Regulation

• Class number: 13673
• Term: Fall 2012
• Instructor: Hall,Christopher

This course involves the study of the Federal Securities Laws. It deals in part with the Securities Act of 1933 and analyzes the coverage of the Act and exemptions therefrom, the method and process and registering securities for public sale, corporate acquisitions and the civil liability provisions. The course also focuses on the Securities Exchange Act of 1934. It covers tender offers, the regulation of broker-dealers, civil liability under Rule 10b-5, obligation of officers and directors, the nature and regulation of security makers, and professional responsibility in securities practice.

Course Schedule

• Date: Wednesday 09:00-12:00AM
• Location: ST108

Course Information

• Catalog number-Section number: 7724-01
• Course Type: Lecture
• Prerequisites: Pre/Co requisite: Business Organizations (7605).
• Credits (min/max): 3/3
• Notes:

  The requisite of Business Organizations (LAW 7605) has been temporarily removed to permit priority registration. Students who do not meet this requisite must obtain instructor permission to remain enrolled.

• Subjects:
  • Business
  • Economic

Enrollment

• Enrollment status: Open
• Current enrollment/capacity: 22/24
• Reserve population/capacity: 0/0
• Waitlist enrollment/capacity: 0/50

Grading

• Grade basis: Graded
• Satisifies Writing Requirement: No
• Exam type: TAKE HOME