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Viewing: FINA 6250 : Securities Regulation and Financial Scandals

Last approved: Thu, 21 Apr 2016 09:15:57 GMT

Last edit: Wed, 16 Mar 2016 14:54:24 GMT

School of Business
Finance (FINA)
FINA
6250
Securities Regulation and Financial Scandals
Secur Regs & Financ Scandals
Fall 2016
3
Course Type
Lecture
Default Grading Method
Letter Grade

No
No

Corequisites

20
Klock
Frequency of Offering

Term(s) Offered

Are there Course Equivalents?
No
 
No
Fee Type


No


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
Uploaded a Course Syllabus

Course Attribute

New Course from a previous 6290 Special Topics.
Key: 10435