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Oct 31, 2024
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LAW 7375 - Securities Regulation
Credits: 3
A study of the securities laws (primarily federal but also state, especially Texas) and of the activities and industry they govern. The principal emphasis is on the regulation of issuance, sale, resale, and purchase of securities, and on the disclosure requirements generated by the registration, reporting, proxy, tender, and antifraud provisions. Other important subjects are civil liability (express and implied), government enforcement, exemptions from registration (especially private placements), insider trading, and the meaning of “security.” Also treated are the functions of the SEC and of state securities administrators. Broker-dealer and market regulation may be covered if time permits.
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