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 2019

Course NumberCourse CreditsEvaluation MethodInstructorMeeting Day/TimesRoom
384.01
Final Exam
James D. Cox
MWTh
9:00-10:15 AM
3041
Sakai site: https://sakai.duke.edu/portal/site/LAW.384.01.Sp19
Email list: LAW.384.01.Sp19@sakai.duke.edu
Course
Degree Requirements
Course Areas of Practice