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BUS-301: Securities Regulation

3 credits

In the upper division baccalaureate degree category, 3 semester hours in Business or Business Law (6/21) (6/22 administrative review).

This course has been evaluated and recommended for 3 credits by the National College Credit Recommendation Service (NCCRS), and may be transferred to over 1,500 colleges and universities.



Welcome to Lawshelf’s video-course on Securities Regulation. In this course, we’ll focus on the many ways in which state and federal laws regulate how securities are introduced to the public, how they are traded and the representations that can be made in the process of buying and selling them.

This is an intermediate level course and it’s recommended that viewers first watch the LawShelf course on Business Organizations so that they are familiar with structures of the businesses that securities represent.

The “overview” module 1 looks at the roles in the generation and trading of securities, including those of the investors, brokers, issues, underwriters and corporate directors and officers. It also looks at the major pieces of legislation that affect securities, from the SEC Acts of 1933 and 1934 to more recent legislation like Sarbanes-Oxley and Dodd-Frank. We’ll also look at the network of federal agencies that enforce securities laws and regulations.



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Overview of Securities Law - Module 1 of 5


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Regulated Instruments - Module 2 of 5


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Public and Non-Public Offerings - Module 3 of 5


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Securities Fraud - Module 4 of 5


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Insider Trading - Module 5 of 5


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Case Study: United States v. Parigian


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Case Study: Weiner v. Tivity Health, Inc.