BUS-L355 Law, Ethics & Professional Responsibility in the Financial Markets
- 16 weeks
- 3 credits
- Prerequisite(s): None
This course is designed to provide a legal foundation for students who are interested in investments and/or plan to pursue careers in the financial markets or corporate finance. Specifically, it is designed to familiarize them with basic principles of law and ethics applicable to the securities markets (including types of securities and their respective attributes, registration and issuance of securities, reporting requirements, and market abuses), (ii) corporate governance, (iii) mergers and acquisitions and other battles for corporate control, (iv) bankruptcy reorganization and liquidation, and (v) trade regulation and antitrust. It also will address the law, ethics, and professional responsibilities of financial advisors.