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Apr 24, 2024
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LAW 3964 - Securities Regulation
This course deals primarily with the federal regulation of the securities industry. Topics studied include the underwriting and distribution of new issues of securities under the Securities Act of 1933, the regulation of trading in securities under the Securities Exchange Act of 1934, and the imposition of civil liabilities under Rule 10b-5 and Section 16(b).
Prerequisites & Notes
Business Organizations.
Credits: 3
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