Study

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:

4 credits

Spring 2025

Course Number	Course Credits	Evaluation Method	Instructor
384.01	Course Credits 4	Final Exam	James D. Cox
Canvas site: https://canvas.duke.edu/courses/48439