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.

Special Notes:

Note: Law 384  Securities Regulation will have make-up classes as follows:
Friday, January 13 at 8:00 AM
Saturday, January 21 at 9:00 to 11:00 AM
Saturday, February 11 at 10:00 AM

Spring 2017

Course Number Course Credits Evaluation Method Instructor Meeting Day/Times Room
Course Credits
Scheduled in-class examination
James D. Cox M-Th 7:55-8:50 AM 3041
Sakai site: https://sakai.duke.edu/portal/site/LAW.384.01.Sp17
Email list: LAW.384.01.Sp17@sakai.duke.edu
Degree Requirements
Course Requirements - JD
Course Requirements - JD-LLM-LE
Course Areas of Practice