The Catholic University of America


 Securities Regulation: Issuance (3 hrs.)


Securities Regulation > Advanced Courses

This course will focus, in depth, on problems arising under the Federal Securities Act of 1933 dealing with matters such as the purpose and operation of the registration process, information distribution during an offering, the application of the registration process to the secondary distribution, understanding of who is an issuer and underwriter, defining a “security” and a “public offering,” availability of various transactional and security exemptions, and the imposition of civil and criminal liabilities for noncompliance with various regulations. Corporations suggested. Mr. Lipton, Ms. McGuire, Mr. Rusch.