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This course offers a basic understanding of the six major federal securities laws, as well as the principal Securities and Exchange Commission (SEC) rules that implement them. The student will learn the overall purpose and scope of the securities laws, how they interact, and the principal responsibilities that they impose on public companies and various securities industry participants.
The course consists of four chapters, with various subtopics, as listed below:
Chapter 1: Overview
- Introduction
- "Security" Defined
- Securities and Exchange Commission
Chapter 2: Securities Act of 1933
- Introduction
- Registration of Securities
- Prospectuses
- Exemptions
- Liability and Enforcement
Chapter 3: Securities Exchange Act of 1934
- Introduction
- Registration of Securities
- Issuer Reports and Disclosure
- Proxy Solicitation
- Beneficial Ownership Reporting
- Issuer's Purchase of Own Securities
- Third-Party Tender Offers
- Insider Reporting and Short-Swing Trading
- Securities Industry and Participants
- Civil and Criminal Liability
Chapter 4: Other Federal Securities Laws
- Investment Company Act of 1940
- Investment Advisers Act of 1940
- Public Utility Holding Company Act of 1935
- Trust Indenture Act of 1939
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Course Details
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Price: $38.95
Field of Study: Federal Securities Law
Level: Basic
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Technical Requirements:
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