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.
Spring 2019
| Course Number | Course Credits | Evaluation Method | Instructor | ||
|---|---|---|---|---|---|
| 384.01 |
4
|
Final Exam
|
James D. Cox | ||
| Sakai site: https://sakai.duke.edu/portal/site/LAW.384.01.Sp19 | |||||
| Email list: LAW.384.01.Sp19@sakai.duke.edu | |||||
| Course | |
| Degree Requirements |
JD elective
LLM-LE (JD) required
IntlLLM-SJD-EXC elective
IntlLLM Business Cert
|
| Course Areas of Practice |
Administrative and Regulatory Law
Business and Corporate Law
|