Securities and Capital Markets

In our class, we will discuss what financial products and transactions are viewed as securities, including investment contracts and notes and the recent uncertainties about crypto currencies;  the regulatory consequences of being viewed as a security; the basic securities exemptions utilized to avoid these regulatory consequences, including the recent growth of the private Unicorn markets; anti-fraud liabilities under the securities laws; and insider trading restrictions and liabilities, including a comparison of the US and non-US laws and holes in the US regulation.

Lecturer - James Carlson