Securities Regulation

(2620.03) Course
Instructor(s): D.H. Lastman; Adjunct Professor

Description: This is a weekly three-hour course that provides a detailed overview of securities regulation in Canada, with particular reference to Ontario. The course encourages an understanding of securities regulation through an appreciation of the underlying policy rationales. The course coverage includes the objectives of securities regulation, principal concepts in the Securities Act (Ontario), registration requirements for persons trading in securities, prospectus requirements to trade in securities, exemptions from the prospectus requirement, restrictions on the resale of securities, remedies for failure to comply with securities legislation, continuous disclosure requirements (including ongoing disclosure by reporting issuers, insider trading and insider reporting) and take-over bid legislation.

Evaluation: 100% Open-book examination. Optional research paper or essay for 50 percent of the grade (not in substitution for the examination) also available.

Fall: 3 credits; 3 hours
Max. Enrollment: 80
Prerequisite Courses: None
Preferred Courses: Business Associations
Presentation: Lectures, discussion
Upper Year Research & Writing Requirement: No
Praxicum: No