Securities Regulation & Compliance

Securities Regulation & Compliance

  • Registration
  • Offering
  • Broker
  • IPO
  • Insider Trading
  • Underwriter
  • Marketmaker
  • Securities Act
  • Prospectus
  • Dodd-Frank
  • Public Offering
  • Dealer

Learn to:


  1. Identify products and transactions that are subject to regulation under the federal securities laws

  2. Explain the registration requirements for securities and the various exemptions from those requirements

  3. Describe the mechanics of a public offering, including the different phases and the requirements during each phase

  4. Appreciate the manner in which control and restricted securities are identified and treated under the federal securities laws

  5. Recognize when the use of material non-public information in the trading of securities violates federal securities law



This course introduces students to the laws and regulations governing the offering and sale of securities in the United States. Topics covered include the definition of a security, the process of offering shares in the public market, securities exemptions and transaction exemptions, selling securities without registration, fraud in connection with the purchase and sale of a security, insider trading, and private liability under the securities laws.


Division of Online Learning

[email protected] | 973-642-8747 or 973-761-9000 ext. 8747