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Course Description

Much of securities regulation is focused on public disclosure; it is therefore important to ensure that the information is accurate so that there are no material misstatements or omissions.

In this course, you will consider some of the principal securities law liabilities to which certain actors in an offering may be exposed when disclosure is problematic. You will also explore how securities laws can impose liability, including when a person breaches a duty by doing insider trading as well as when a company insider engages in “short-swing” trading of the company’s shares. Finally, you will consider some of the principal agreements and other documents in a public offering of securities to better understand their full context for your work.

You are required to have completed the following courses or have equivalent experience before taking this course:

  • LAW585: Defining Security
  • LAW586: Securities Registration and Reporting
  • LAW587: Registration Requirement Exemptions

Faculty Author

Charles K. Whitehead

Benefits to the Learner

  • Explore ways to anticipate and defend against liabilities relating to material misstatement or omissions
  • Recognize the key elements and impacts of insider trading

Target Audience

  • Finance professionals
  • Investors and investment professionals
  • Lawyers
  • Business leaders
  • Compliance and risk management professionals
  • Procurement professionals
  • Fundraising professionals

Applies Towards the Following Certificates

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Enroll Now - Select a section to enroll in
Type
2 week
Dates
May 08, 2024 to May 21, 2024
Total Number of Hours
12.0
Course Fee(s)
Contract Fee $100.00
Type
2 week
Dates
Jul 31, 2024 to Aug 13, 2024
Total Number of Hours
12.0
Course Fee(s)
Contract Fee $100.00
Type
2 week
Dates
Oct 23, 2024 to Nov 05, 2024
Total Number of Hours
12.0
Course Fee(s)
Contract Fee $100.00
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