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Securities Regulation
Mr. Starvos Gkantinis (Gadinis)
3 classroom credits LAW-46200A Fall

Securities laws set the terms under which corporations can raise financing from the public. To support an active and highly liquid market, the securities laws set up a sophisticated regulatory apparatus administered by the Securities and Exchange Commission. This course offers an introduction to the two most important federal securities laws, the Securities Act of 1933 and the Securities Exchange Act of 1934, and the elaborate disclosure obligations they impose on the distribution and trading of investment securities. Topics to be covered include the preparation of disclosure documents, exemptions from disclosure requirements, the relationship between disclosure obligations and anti-fraud rules, the duties of participants in securities transactions, and the applicability of federal securities laws to transnational transactions. Most students find it helpful to have completed or to take concurrently a course in Corporations before taking Securities Regulation. Students who have not done so should speak with the instructor during the first week of classes.

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