Securities Regulation

Course Information

Course Number
L6423
Curriculum Level
Upperclass
Areas of Study
Administrative Law and Public Policy, Corporate Law, Business, and Finance
Type
Lecture

Section 001 Information

Instructor

Section Description

This course starts with a study of mandatory affirmative issuer disclosure requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. These requirements are triggered by the public offering of an issuer's securities and by their trading in public markets. The sanctions, including civil damage liability, for violating these requirements are considered as well as available exemptions. The course then proceeds to study the securities law regulation of insider trading, false or misleading corporate statements, and current policy issues including cybersecurity, initial coin offerings (ICOs) and short attacks on public companies.

Please note: This section focuses heavily on securities litigation and enforcement, with less of an emphasis on the registration process than other sections of Securities Regulation. The course also takes an economic approach with a focus on cutting-edge policy issues.

Please do not contact the professor for CoRequisite exemption

School Year & Semester
Spring 2024
Location
JGH 106
Schedule
Class meets on
  • Tuesday
  • Thursday
8:40 am - 10:30 am
Points
4
Method of Evaluation
Exam
J.D Writing Credit?
No

Course Limitations

Instructor Pre-requisites
None
Instructor Co-Requisites
Corporations
Recommended Courses
None
Other Limitations
Please do not contact the professor for CoRequisite exemption

Other Sections of Securities Regulation

Section 001

School Year & Semester

Fall 2023

Instructor

Location

JGH 102b

Schedule

Class meets on
  • Monday
  • Wednesday
  • Thursday

Points

4
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