Course Number
384
Credits
4
Area of Study & Practice
- Business Organization and Finance
- Financial Institutions
- Gov't Regulation & Administrative Practice
JD Graduation Requirements
This course typically satisfies all or some of the following JD graduation requirements:- Professional Skills
Securities Regulation
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.
Sections/Instructors
James D. Cox
Securities Regulation 384.01
Spring 2013
Sakai Site
James D. Cox
Securities Regulation 384.01
Spring 2012
E-mail List • Sakai Site
James D. Cox
Securities Regulation 384.01
Spring 2011
E-mail List • Blackboard Site
James D. Cox
Securities Regulation 384.01
Spring 2010
E-mail List • Blackboard Site
James D. Cox
Securities Regulation 384.01
Spring 2009
E-mail List • Blackboard Site
James D. Cox
Securities Regulation 384.01
Spring 2008
E-mail List • Blackboard Site
Download: Course Information
Securities Regulation 384.401
Spring 2006
James D. Cox
Securities Regulation 384.01
Spring 2005
James D. Cox
Securities Regulation 384.01
Spring 2004
James D. Cox
Securities Regulation 384.01
Spring 2003