Nov 19, 2024  
2021-2022 Graduate Catalog 
    
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2021-2022 Graduate Catalog [ARCHIVED CATALOG]

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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.


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