LAW 784 - Securities Regulation

Institution:

Saint Louis University-Main Campus

Subject:

Law

Description:

Federal regulation of the issuance, distribution and trading of securities and of market professionals, including the following topics: the underwriting process; preparation of the registration statement and prospectus; secondary distributions; the private placement exemption; civil liability; Securities and Exchange Commission enforcement proceedings; regulation of stock exchanges and the over-the-counter market; regulation of broker-dealer firms; regulation of investment companies and investment advisers; globalization of the securities markets.

Credits:

3.00

Credit Hours:

Prerequisites:

Corequisites:

Exclusions:

Level:

Instructional Type:

Lecture

Notes:

Additional Information:

Historical Version(s):

Institution Website:

www.slu.edu

Phone Number:

(314) 977-2222

Regional Accreditation:

North Central Association of Colleges and Schools

Calendar System:

Semester

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