Phase I: Foundation

Session Description

Securities Law and Regulatory Structure

This session is the cornerstone of the CRCP Program and provides an overview of the securities laws and regulatory structures specific to the financial services industry. Dr. Tyson will lead participants through an in-depth review and analysis of the Securities Act and Securities Exchange Act, and will impart current-world examples applying the securities laws.

 

After completing this session, you will be able to:

 

• Summarize and apply selected securities statutes and rules to the distribution and subsequent trading of securities
• Understand and explain various regulatory requirements for brokers, dealers, investment advisers and investment companies emphasizing requirements typically problematic for broker-dealers
• Describe regulator interactions with each other and with the securities industry

 

Instructor:

 

William Tyson, Associate Professor of Legal Studies, Accounting, Management, and Law, University of Pennsylvania