Course Description

601:617. SECURITIES REGULATION (2 or 3)

Laby, Robbins, S., Russell

Pre- or corequisite: Business Organizations or permission of instructor.



Surveys federal regulation of securities offerings (including initial public offerings) and securities trading in secondary markets under the two main statutes, the Securities Act of 1933 and the Securities Exchange Act of 1934, both as amended.  The course highlights the role of the Securities and Exchange Commission in implementing and enforcing the federal securities laws. Examination of what is a security; the roles and regulation of securities intermediaries, such as broker-dealers, investment advisers, and mutual funds;  and enforcement by private plaintiffs as well as the SEC. 


Last updated April 21, 2015.