This course is required for students in the Securities Law LLM program who have not had practical or regulator training as securities lawyers in Canada. It will provide a securities regulatory foundation for the study of the types of products and transactions used in the capital markets and the regulation thereof. It will provide this foundation starting with an overview of corporate finance and its regulation in Canada and then looking at the core ways in which investment opportunities are offered and purchased. It will also provide an introduction to the regulatory process used the by securities regulators for potential violations.


Students who have completed LAW 6746 (6.0) Foundations of Securities Regulation: Theories and Concepts are not eligible to take this course. This course is required for students within the Securities Law LLM program who are not licenced to practice law in Canada.

Anti-requisite: LAW 6118 - Foundations of Securities Law

NCA equivalence:


Terms Offered

Winter 24

Course Section: M

3.0 credits

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