Professor Jeffrey Haas, William Jannace
An in-depth study of the Federal Securities Act of 1933, its registration and distribution processes, and the basic exemptions from registration. The course covers the authority, procedures, and practice of the Securities and Exchange Commission and the civil and criminal penalties for non-compliance with applicable regulations.
Prerequisite: Corporations (BUS210). Open only to students who completed Securities Regulation: Securities Exchange Act of 1934 (BUS230) in previous years.