Securities Regulation


Law 278W

1

Upper-Level

Writing Experience (WE)

No

Yes

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.




Students in the writing section will automatically be registered for the three credit regular section. Strongly Recommended: Business Associations (may be taken concurrently).




T. Hazen

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


If you are seeing this, you are either using a non-graphical browser or Netscape 4.x (4.7, 4.8, etc.) and this page appears very plain. If you are using a 4.x version of Netscape, this site is fully functional but lacks styles and optimizations available in other browsers. For full functionality, please upgrade your browser to the latest version of Internet Explorer or Firefox.