The following directory lists the graduate courses which the University expects to offer, although the University in no way guarantees that all such courses will be offered in any given academic year, and reserves the right to alter the list if conditions warrant. Click on the links below for a list of courses in that subject area. You may then click “View Classes” to see scheduled classes for individual courses.
5680. Securities Law
3.00 credits
Prerequisites: Open only to MBA students, others with consent.
Grading Basis: Graded
Examines the legal and regulatory environment relevant to financial markets. Students will learn how rules related to the Securities and Exchange Commission and other regulatory bodies regulate and preserve the integrity of securities transactions and practices. Topics will also include the legal and ethical responsibilities of corporate managers and executives, accountants, underwriters, and broker-dealers, as well as the global and transnational aspects of securities transactions. Students gain experience identifying and resolving potential violations of securities laws and ensuring that an organization is in full legal compliance with relevant regulations.
Last Refreshed: 28-MAR-24 05.20.12.635703 AM
Term | Class Number | Campus | Instruction Mode | Instructor | Section | Session | Schedule | Enrollment | Location | Credits | Grading Basis | Notes | |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1248 1045 1 712 | Fall 2024 | 1045 | Hartford | Online Synchronous | Hudspeth, Stephen | 712 | Reg | Tu 6:00pm‑9:00pm |
5/40 | No Room Required - Online | 3.00 | Graded |