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National College Credit Recommendation Service

Board of Regents  |  University of the State of New York

LawShelf Educational Media | Evaluated Learning Experience

Securities Regulation (BUS-301)


Varies, self-study. 


July 2022 - Present. 

Instructional delivery format: 
Online/distance learning
Learner Outcomes: 

Upon successful completion of the course, students will be able to: describe the securities laws that are most instrumental in regulating the behavior of publicly traded corporations; determine which types of instruments are subject to securities laws and regulations; distinguish between IPOs, exempt offerings, and re-sale of securities and discuss the rules applicable to each; and apply federal laws that criminalize securities fraud and insider trading.


Major topics taught in this course include: federal and state regulation of securities, buying and selling securities, public offerings, stock exchanges, listing, IPOs, disclosures, securities fraud and insider trading. It is suggested that students complete  Business Organizations (BUS-101) prior to this course. 

Credit recommendation: 

In the upper division baccalaureate degree category, 3 semester hours in Business or Business Law (6/21) (6/22 administrative review).