384.01 Securities Regulation

A study of the federal and state securities laws and the industry they govern with emphasis on the regulation of the distribution process and trading in securities; subjects dealt with include the functions of the Securities and Exchange Commission, registration and disclosure requirements and related civil liabilities, "blue-sky" laws, proxy solicitation and reporting requirements, broker-dealer regulation, the self-regulatory functions of the exchanges, and the regulation of investment companies.

Spring 2018

Course NumberCourse CreditsEvaluation MethodInstructorMeeting Day/TimesRoom
Final Exam
James D. Cox
9:00-10:15 AM
Sakai site: https://sakai.duke.edu/portal/site/LAW.384.01.Sp18
Email list: LAW.384.01.Sp18@sakai.duke.edu
Degree Requirements
Course Areas of Practice