(only do slides 13,14,15,16) The instructor asked that we outline the assigned chapter. Her instructions are as follows:- All slides must contain speaker notes- She stated we could copy/paste from the book- Copy/paste from other sources- Be sure to cite our references- She does not want the slides to be “Wordy”- She wants us to use bullet points with a few words- We can insert videos in place of our bullet points as long as it’s relevant to the chapter content- We can use our experiences as they pertain to the contents in the chapter- Pictures are good, but keep to a minimum- Pictures must be relevant to the contents of the chapter

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Investor Protection and ESecurities Transactions
Romulo Alejo, Snooky Calambro, Erica Calistro & Sara Solorio
University of Phoenix
May 13, 2019
Mary Lerner
Introduction to Investor Protection
and E-Securities Transactions
Securities Law
Definition of Security
Initial Public Offering: Securities Act
of 1933
Registration Statement and
Sale of Unregistered Securities
Civil Liability and Criminal Liability of
the Securities Act of 1933
E-Securities Transactions
E-Public Offerings
Exempt Securities
Exempt Transactions
Trading in Securities: Securities
Exchange Act of 1934
Insider Trading
Short-Swing Profits
State “Blue-Sky” Laws

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