384.01 Securities Regulation
Syllabus
384.01.Spring2020-syllabus.pdf144.36 KB
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 2020
Course Number | Course Credits | Evaluation Method | Instructor | ||
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384.01 |
Course Credits
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Final Exam
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James D. Cox | ||
Sakai site: https://sakai.duke.edu/portal/site/LAW.384.01.Sp20 | |||||
Email list: LAW.384.01.Sp20@sakai.duke.edu |
Course |
Course
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Degree Requirements |
Course Requirements - JD
Course Requirements - JD-LLM-LE
Course Requirements - LLM
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Course Areas of Practice |
Course Areas of Practice
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