Securities Regulation

Semestre Semestre 2

Contenu

This course will focus on the Securities Act of 1933 and the Securities Exchange Act of 1934. With respect to the former, the course will particularly emphasize the public distribution process, registration, proxy regulation, regulation of tender offers and corporate repurchases, short-swing trading by corporate insiders and the anti-fraud provisions (including Rule 10B-5 and civil liability). The course will also examine the professional responsibilities of securities lawyers and other professionals and will touch upon regulation of securities exchanges and the over-the-counter market and regulation of brokers and dealers.