Area of Study & Practice
- Business Organization and Finance
- Financial Institutions
- Gov't Regulation & Administrative Practice
JD Graduation RequirementsThis course typically satisfies all or some of the following JD graduation requirements:
- Professional Skills
A study of the federal and state securities laws and the industry they govern with emphasis on the regulation of the distribution process and trading in securities; subjects dealt with include the functions of the Securities and Exchange Commission, registration and disclosure requirements and related civil liabilities, "blue-sky" laws, proxy solicitation and reporting requirements, broker-dealer regulation, the self-regulatory functions of the exchanges, and the regulation of investment companies.
Please note that course organization and content may vary substantially from semester to semester and descriptions are not necessarily professor specific. Please contact the instructor directly if you have particular course-related questions.
James D. Cox
Securities Regulation 384.01