This course offers an in-depth study of both the Securities Act of 1933 and the Securities Exchange Act of 1934. Subjects covered under the 1933 Act may include security registration and distribution and the basic exemptions from registration; the authority, procedures, and practice of the Securities and Exchange Commission (SEC); and the civil and criminal penalties for noncompliance with applicable regulations. Subjects covered under the 1934 Act may include federal regulation of stock exchanges, broker-dealers, and tender offers; reporting requirements; proxy regulation; anti-fraud provisions.

This upper-level substantive course provides an overview of the federal securities laws and the work of the Securities and Exchange Commission.

Recommended for the following Professional Pathways: Government/Public Sector; Corporate Transactions and Governance; Financial Services and Compliance; International Business; Real Estate and Land Use

4 Credits