main navigation
my pace

FIN 631 Securities Law and Regulations

Course Description: Studies the securities industry as part of the domestic and international financial services industry and the role of government regulation in controlling misconduct and stimulating financial and technical innovation. The course includes the basic SEC disclosure methods and documents the development of Generally Accepted Accounting Principles, securitization, investment banking and trading methods, broker-dealer regulation, tender offers, proxy contests and insider trading.


3 credits


Pre-requisite for FIN 631 ( Course : MBA 648 . Minimum Grade of C. )