384.01 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.
|James D. Cox
|Sakai site: https://sakai.duke.edu/portal/site/LAW.384.01.Sp16
|Email list: LAW.384.01.Sp16@sakai.duke.edu