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Apr 19, 2024
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LAW 6235 - Securities Regulation
Credits: 2
A study of the securities laws (primarily federal but also state, especially Texas) and the activities and industry they govern, with emphasis on the regulation of issuance, sale, resale, and purchase of securities. Also, disclosure requirements generated by registration, reporting, proxy, tender, and antifraud provisions. Includes civil liability (express and implied), government enforcement, exemptions from registration (especially private placements), insider trading, the meaning of “security,” and the functions of the SEC and state securities administrators. May cover broker-dealer and market regulation if time permits.
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