Apr 20, 2024  
2020-2021 Graduate Catalog 
    
Catalog Navigation
  Catalog Home
  About SMU
  Catalog Policy and Legal Statement
  Cox School of Business
  Dedman College of Humanities and Sciences
  Dedman School of Law
  Lyle School of Engineering
  Meadows School of the Arts
  Perkins School of Theology
  Simmons School of Education and Human Development
  SMU Guildhall
  Interdisciplinary Programs
  The Moody School of Graduate and Advanced Studies
  Professional and Online
  Academic Programs
  Course Descriptions
  Right to Know
  Educational Programs
  Educational Facilities and Services
  Administration
  Financial Information Bulletin 2020-2021
  My Catalog
HELP
2020-2021 Graduate Catalog [ARCHIVED CATALOG]

Add to Catalog (opens a new window)

LAW 6288 - Regulation of Securities and Commodities Markets

Credits: 2

A study of the securities laws as they relate to the securities industry itself. Focuses on the roles of broker-dealers, investment advisers, and stock exchanges within the scheme of self-regulation under federal law, and on activities of underwriters and specialists. Problems addressed include broker-dealer duties and liabilities to customers, market manipulation, price stabilization, margin regulations, and competition in the industry. Paper or examination. Prerequisite: LAW 6420  Business Enterprise.


Add to Catalog (opens a new window)