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Oct 06, 2024
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LAW 5663 Federal Securities Regulation(3 hours)
This course introduces students to capital markets and conducts an in-depth study of the federal securities laws, with emphasis on the Securities Act of 1933 and the Securities Exchange Act of 1934, which regulate the distribution of and trading in securities. The subjects to be examined include the operation of the Securities and Exchange Commission (SEC), the definition of a “security,” securities law reporting and disclosure obligations (and their related civil and criminal liabilities), the registration of securities for public sale, and the exemptions from the registration. The course is essential for any student intending to advise clients regarding raising capital and disclosure requirements in both public and private transactions; it is highly recommended for students interested in general business litigation or in-house counsel positions.
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