Securities Regulation

Law 278






A comprehensive and intensive survey of statutes and regulations governing securities distribution and trading on the stock exchanges, and broker-dealer regulation. Topics covered include the definition of "security," disclosure obligations generally, the role of the Securities and Exchange Commission in regulating the securities markets, and the regulation of broker-dealers. We will examine disclosure and registration obligations regarding public offerings of securities and trading in the stock markets. We will also examine the exemptions from registration for small-scale transactions. We will consider regulation and self-regulation of the securities markets (including the exchanges and the over-the-counter markets) generally as well as broker-dealer sales practices.

Corporate Finance

Recommended but not required - Business Associations

T. Hazen

UNC School of Law | Van Hecke-Wettach Hall | 160 Ridge Road, CB #3380 | Chapel Hill, NC 27599-3380 | 919.962.5106 | Accessibility

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