SECURITIES REGULATION
In this course, you will learn the following:
1) The nature of securities regulation
2) The Securities Act of 1933 and the Securities Exchange Act of 1934
3) Liability under securities laws
4) What insider trading is and why it’s unlawful, and
5) Civil and criminal penalties for violations of securities laws
Both the registration and the trading of securities are highly regulated by the Securities and Exchange Commission, or (SEC).
A violation of a securities law can lead to severe criminal and civil penalties.