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L6423 Securities Regulation

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Course Limitations

Instructor Pre-requisites
L6231 Corporations; Open to LLM students who have completed a course in Corporations or Business Associations.

Instructor Co-requisites
None

Recommended Courses
None

Other Limitations
None

Learning Outcome Goals

Primary Goals

  • A principal goal is a transactional understanding of the offering process. How do they price and market IPOs? What do underwriters actually do? What is involved in the preparation of a registration statement?
  • Another major goal is an understanding of the problem of systemic risk. How does the Dodd-Frank Act deal with it? How effective is it likely to be?
  • Have recent deregulatory efforts gone too far? Or is there room for further deregulation? This debate will be informed by pending SEC rule-making under the JOBS Act and recent court decisions.

General Information

Type: Lecture
Level: Upperclass

Other Sections

Section 001, Spring 2020
TR 10:10 am-12:00 pm
Joshua Mitts