Public Companies and Securities Regulation (8105)

PREREQUISITE COURSES FOR Public Companies and Securities Regulation

Course Memo

The objective of this course is to acquire an understanding of the structure and characteristics of the public corporation and its regulation, focusing upon the public securities markets. The course will examine the basics of the securities markets, materiality of information, the definition of a “security,” disclosure of information required of public companies, antifraud provisions and insider trading.  The course will also examine registration of public offerings and exemptions from registration and federal regulation of shareholder information requirements and proxy voting.  The course will also include a survey of SEC investigations and enforcement proceedings.