Securities Law – Part I: Introduction to securities, financial markets, and regulations.

Securities Law – Part I: Introduction to securities, financial markets, and regulations.

Week 1: Introduction to securities, types of securities

1. Day 1: Introduction to securities and their role in the economy
2. Day 2: Understanding stocks: characteristics, types, and trading
3. Day 3: Understanding bonds: characteristics, types, and trading
4. Day 4: Understanding mutual funds, ETFs, and derivatives
5. Day 5: Case study analysis of different types of securities

Week 2: Understanding financial markets and their structure

1. Day 1: Overview of financial markets: primary market, secondary market
2. Day 2: Understanding stock exchanges and over-the-counter market
3. Day 3: Role of brokers, dealers, and investment banks in financial markets
4. Day 4: Case study analysis of financial market operations
5. Day 5: Review and wrap-up

Week 3: Overview of securities regulation, Securities Act of 1933

1. Day 1: Introduction to securities regulation: purpose and principles
2. Day 2: Understanding the Securities Act of 1933: registration of securities, prospectus requirements
3. Day 3: Exemptions from registration: private placement, small offerings, intrastate offerings
4. Day 4: Securities litigation under the 1933 Act: civil liabilities, defenses
5. Day 5: Case study analysis of securities registration and litigation

Week 4: Securities and Exchange Commission (SEC), role, and functions

1. Day 1: Introduction to the SEC: organization, mission, functions
2. Day 2: SEC regulation of securities offerings: review of registration statements, enforcement actions
3. Day 3: SEC regulation of financial markets and intermediaries: self-regulatory organizations, broker-dealer regulation
4. Day 4: Case study analysis of SEC enforcement actions
5. Day 5: Review and wrap-up