Phase III: Capstone

Session Description

Securities Law and Regulatory Structure

This session provides in-depth coverage of advanced topics in securities law and regulatory structure pertinent to compliance professionals and regulators.

 

After completing this session, you will be able to:

• Explain the regulatory structure of mergers and acquisitions
• Describe the rules regarding public and private resales of control and restricted securities
• Outline the compliance and regulatory issues relevant to the reporting obligations of managers and principal shareholders of public companies

 

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