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LAW 714S Securities Regulation 3.0 Credits

This course examines securities market regulation, including registration, exemption, and remedies under the Securities Act of 1933; reporting and accounting standards under the 1934 Act; the proxy system; and the regulation of broker-dealers, specialists, and self-regulatory organizations.

College/Department: Thomas R. Kline School of Law
Repeat Status: Not repeatable for credit

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