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255.5 sec. 1 - Securities Regulation (Fall 2014)

Instructor: Robert Bartlett  (view instructor's teaching evaluations | profile)
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Units: 4
Meeting Time: MTuW 3:35-4:45
Meeting Location: 100

Course Start: August 25, 2014
Course Control Number (Non-1Ls): 49727


This course provides an overview of the regulation of securities offerings and trading under the Securities Act of 1933 and the Securities Exchange Act of 1934. The course explores the elaborate disclosure obligations that this country imposes on the distribution and trading of investment securities as well as the role of the Securities Exchange Commission and private plaintiffs in shaping and enforcing these disclosure obligations. Topics to be covered include: public offerings of securities and the registration process under the Securities Act of 1933, exemptions from these registration requirements and the role of exemptions in the financing of private and public firms, and the disclosure obligations of publicly-traded issuers. The course will also examine the role of anti-fraud rules in the issuance and trading of securities as well as liability for insider trading.

Prerequisites:
Business Associations (concurrent enrollment is acceptable)

Exam Notes: F
Course Category: Business Law

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Readers:
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Books:
Required Books are in blue

  • Securities Regulation Statutory Supplement, 2012
    Stephen J. Choi, A. C. Pritchard,
    Publisher: Foundation Press
    ISBN: 9781609301286
    Copyright Date: To Be Determined
    Price: To Be Determined
  • Securities Regulation: Cases and Analysis, 3d
    Stephen Choi, A. C. Pritchard,
    Publisher: Foundation Press
    ISBN: 9781599419237
    Copyright Date: To Be Determined
    Price: 125
    Note: prices are sampled from internet bookstores. Ned's prices are unavailable at this time.

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