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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

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School of Business
Finance (FINA)
Securities Regulation and Financial Scandals
Secur Regs & Financ Scandals
Fall 2016
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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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New Course from a previous 6290 Special Topics.
Key: 10435