LAW 6028 - Securities Regulation Law

Covers the basics of federal securities regulation. Focusing on the two principal securities statutes, the Securities Act of 1933 and the Securities Exchange Act of 1934, the course will examine a range of topics including the public company disclosure regime (as amended by the Sarbanes-Oxley Act of 2002); the initial public offering (IPO) process; offerings exempt from registration; secondary distributions; securities fraud; and forms of liability.

Prerequisites & Notes
Prerequisite: LAW 6435.

Credits: V2-3