Loading...

Course Description

In this lesson, you will be introduced to the capital markets as well as some of its key actors, including broker-dealers and underwriters. You will also begin to examine the purpose of securities regulation and its scope. You will consider the threshold question of when an instrument or transaction constitutes a security, and you will have an opportunity to demonstrate your understanding by analyzing whether a particular transaction involves a security.

Whether or not a security is being offered or sold is a foundational question in securities regulation. In general, if it’s not a security, the transaction is not subject to the securities laws. There are several factors to consider when determining what constitutes a security. In this lesson, you will discover how courts and regulators define “security,” even as new instruments and transactions emerge, such as digital tokens and other assets. You will consider cases and examples that highlight how nontraditional forms of investment can be considered securities and subject to the securities laws.

Benefits to the Learner

  • Discover how courts and regulators define “security”
  • Recognize the implications of being a security
Loading...
Enroll Now - Select a section to enroll in
Type
self-paced (non-instructor led)
Dates
Sep 30, 2022 to Dec 31, 2030
Total Number of Hours
1.0
Course Fee(s)
Regular Price $0.00
Required fields are indicated by .