Pre or co-requisite:
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.