Welcome - Securities Regulation LAWS 2138   Securities Regulation
This course will address the theoretical basis for and the role of securities regulation in regulating capital markets and protecting investors. It will provide students with a firm understanding of the basics of securities laws and policies and sufficient guidance to permit them to research certain complex aspects of the subject that cannot be covered in an introductory course. Specific topics which will be covered include: institutional and regulatory framework; theory of securities regulation; licensing of securities market professionals; regulation of primary market offerings; trading in the secondary markets, continuous market disclosure, including such topics as financial, insider trading and proxy solicitation regulations; regulation of market conduct, including the specifics of take-over bid and issuer bid legislation; and enforcement matters.
NOTES: Assessment Method: Based primarily on a problem-oriented written examination at the end of the course.
PREREQUISITES: Business Associations