Securities Regulation

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