Dean’s Blog

07/16/2014
When I left Wake Forest for the deanship at Roger Williams in 2003, I signed a contract for 3 years, hoped to survive for 5 (the typical deanship lasts 4+ years, about the same as NFL coaches), and...

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Securities Regulation

Course Number: 
LAW.832
Credits: 
3

This course covers two of the most active and critical legislative acts adopted in the field of economic regulation, the Securities Act of 1933 and the Securities and Exchange Act of 1934. It discusses the disclosure and other provisions imposed on companies issuing and dealing in stock and other securities, as well as remedies available. Ethical issues facing lawyers servicing clients in this area are also examined. Business Organization is a prerequisite.