Securities Regulation

B727 is taught by H. Buxbaum, J. Hicks, D. Nagy

This course provides an overview of the federal securities laws and focuses primarily on the Securities Act of 1933. Topics include the definition of a security; underwriting and the registration process; exempted securities and exempted transactions; secondary distributions; and private rights of action for Securities Act violations. Grading will be based on an online final exam, as well as preparation for and participation in class.

Prerequisite or Co-requisite: Corporations (B653). This course can be taken in the second or third year.