Ch 15: Securities and Antitrust Law

About This Chapter

Watch online business video lessons and learn about the SEC, the Sherman Act, the Sarbanes-Oxley Act and more. Afterward, take the accompanying self-assessments, and test your own understanding of these important topics.

Securities and Antitrust Law - Chapter Summary and Learning Objectives

In this chapter, our knowledgeable, professional instructors will explain terms essential for understanding securities and antitrust law. Lessons also present you with an overview of the relevant legislation and detail the sections regulating securities sales, insider trading and business ownership structure. This chapter is designed to teach you the following:

  • Types of organizations and agreements violating antitrust law
  • Laws regulating securities and investment contracts
  • Securities registration requirements
  • Legally exempt securities transactions
  • Forms of securities fraud

Video Objectives
Violations of Registration Process: Types & Remedies Explains sections of the Securities Act that outline the civil liability of issuers who abuse or break registration requirements.
What Are Exempt Securities and Transactions? - Definition & Types Lists securities and transactions exempt from regulation, pursuant to Section 4.
Securities Fraud & Insider Trading: Definition, Regulations & Penalty Lists the elements to be held liable for securities fraud and insider trading.
Antitrust Law: Definition, Types & Outline Defines trust and monopoly. Outlines the purposes of the Sherman Act, Clayton Act and Hart-Scott-Rodino Act.
Horizontal and Vertical Agreements that Violate the Sherman Act Describes horizontal and vertical agreements and explains which types violate the Sherman Act.

5 Lessons in Chapter 15: Securities and Antitrust Law
Test your knowledge with a 30-question chapter practice test
Violations of Registration Process: Types & Remedies

1. Violations of Registration Process: Types & Remedies

The Security Exchange Commission (SEC) requires that publicly traded companies disclose financial information to their investors. Common registration violations include selling non-exempt securities, untrue statements, misstatements or omissions.

What Are Exempt Securities and Transactions? - Definition & Types

2. What Are Exempt Securities and Transactions? - Definition & Types

Exempt securities are financial instruments that do not need to be registered with the Securities Exchange Commission (SEC). They are generally backed by the government and may carry a lesser risk than securities offered by public companies.

Securities Fraud & Insider Trading: Definition, Regulations & Penalty

3. Securities Fraud & Insider Trading: Definition, Regulations & Penalty

Securities fraud or insider trading is illegally trading stock on the open market using confidential information. It is usually done to gain an advantage over other traders.

Antitrust Law: Definition, Types & Outline

4. Antitrust Law: Definition, Types & Outline

Antitrust laws are statutes developed to protect consumers from rapacious business practices by making it illegal for businesses to compete in unfair ways.

Horizontal and Vertical Agreements that Violate the Sherman Act

5. Horizontal and Vertical Agreements that Violate the Sherman Act

There are two types of restrictions under the Sherman Anti-Trust Act. A horizontal agreement between competing businesses includes price fixing, and a vertical agreement between sellers and buyers includes engaging in resale price maintenance. Learn about both types of agreements in this lesson.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
Not Taken
Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
Not Taken

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