Securities Regulations

Discussion - 3 hours.  Regulation of the distribution of securities under the Securities Act of 1933 and SEC Rules adopted thereunder, registration and reporting provisions of the 1934 Securities Exchange Act. Coverage includes detailed examination of the registration process, definitional problems, exemptions from registration, resale of restricted securities, civil liability, indemnification and contribution.

Prerequisite: 215 Business Associations or instructor consent.
Final Assessment: Exam

Advanced Writing
No
Units
3
Professional Skills
No
Course Number
236
Active
Yes

Certificate Requirement

Cluster

Unit 16
No