About This Chapter
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
|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.|
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.
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.
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.
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.
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.
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Other chapters within the CLEP Introductory Business Law: Study Guide & Test Prep course
- History of American Law
- Sources of Law
- Constitutional Law
- American Legal Systems
- Legal Procedures
- Contract Law Basics
- Capacity in Contract Law
- Contract Law and Third Party Beneficiaries
- Contracts: Assignment and Delegation
- Contracts: Statute of Frauds
- Contracts: Scopes and Meanings
- Contracts: Breach of Contract
- Contracts: Discharge of Contracts
- The Legal Environment
- Property Law
- Creditors' Rights
- International Business Law
- Product Liability and Consumer Protection
- Types of Business Organizations
- Torts in Business Law
- The Role of Agency in Business Law
- Sales & the Law
- CLEP Introductory Business Law Flashcards