SECURITIES REGULATION (4) (BUS225)

Professors Jeffrey Haas, Faith Stevelman Kahn, Aleta G. Estreicher

Offers an in-depth study of both the Securities Act of 1933 and the Securities Exchange Act of 1934. Subjects covered under the 1933 Act may include security registration and distribution and the basic exemp­tions from registration; the authority, procedures, and practice of the Securities and Exchange Com­mission (SEC); and the civil and criminal penalties for non-compliance with applicable regulations. Subjects covered under the 1934 Act may include federal regulation of stock exchanges, broker-dealers, and tender offers, reporting requirements, proxy regulation, anti-fraud provisions (including insider trading under § 10(b) and § 16(b)) and enforcement of the Act by SEC and private parties. Grade is based on either an in-class or take-home examination at the instructor’s option.

Prerequisite: Corporations (BUS210).