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Legal Research Guides by Course - Securities Regulation

Course Description:

The course is designed to deal primarily with the offering and sale of securities which is governed under the Securities Act of 1933, sometimes referred to as the “Truth in Securities Act.”  The students should complete the course with the overall understanding of the securities registration process as it applies in the United States.  The course will explore the question of what is a security.  It will then address the registration process and how securities are offered to the public.  The concept of materiality is considered and the consequences of a deficient registration statement, including the remedies available under the Act, including damages and rescission.  The course also explores certain exemptions from the registration requirements of the Act including the private offering exemption, the intrastate offering and Regulation D.  Secondary transactions are also covered. Prerequisite: Corporations (2 credits)

Faculty Who Teach This Course:

Subject Covered Presently in Collection by:

Print Collection:

KF1066-KF1083   Marketing of Securities
KF1431-KF1444   Issuing of Securities
KFP179   Pennsylvania Marketing of Securities
KFP214   Pennsylvania Issuing of Securities

Legal Research Databases:

DCLI Webpage Links:

  • Primary Legal Research: Case Law, Statutory Law, Administrative Law (contains quick links to our federal and state statutes, our federal and state administrative codes, and federal and state case law)
  • Legal Research Guides:  Commercial Law