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Apr 21, 2016 by Kathleen Rogan (krogan)
FINA 6250 : Securities Regulation and Financial Scandals
Thu, 21 Apr 2016 09:15:57 GMT
Wed, 16 Mar 2016 14:54:24 GMT
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F-MBA: Business Administration, Finance Concentration
FINMGT-GC: Graduate Certificate in Financial Management
School of Business
Long Course Title
Securities Regulation and Financial Scandals
Short Course Title
Secur Regs & Financ Scandals
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Philosophy and framework of laws governing the sale of securities, including stocks, bonds, and investment contracts; financial scandals and the role that changes in securities law and housing policy has played in such events.
At the conclusion of the course students should • Understand the fundamental philosophy of federal securities regulation, full and fair disclosure without regard to merit • Understand the legal definition of a security, particularly investment contracts and the Howey test • Know the safe harbors for exempt transactions • Understand the consequences for failing to register a security and failing to perfect an exemption from registration • Understand the legal definition of an underwriter and the consequences for being deemed to be an underwriter in a secondary sale of securities • Understand the anti-fraud provisions of the Exchange Act • Know the major financial scandals taken place since 2000 and be able to articulate theories about their causes • Be knowledgeable about and understand proposals to reduce fraud and improve financial market performance
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