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Graduate Catalog 2013-2014

LAW 644 - Securities Regulation

A study of the process of and the law governing the issuance, distribution, and trading of securities focusing primarily on the Securities Act of 1933 and the Securities Exchange Act of 1934 and related rules and regulations.  Topics include the definition of a “security;” the obligation to register; the registration and disclosure requirements; the exemptions from the registration process; and the insider trading and antifraud provisions.

Prerequisites:
LAW 561

Credits: 3



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