Schedule of Classes
255.5 sec. 1 - Securities Regulation (Fall 2009)
Instructor: Robert Bartlett (view instructor's profile)
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Units: 3
Meeting Time: WTh 11:15-12:30
Meeting Location: 140
Course Control Number (Non-1Ls): 49648
Main Section Enrollment:
Enrolled: 51
Waitlisted: 0
Enroll Limit: 60
As of: 11/25 06:43 AM
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, the disclosure obligations of publicly-traded issuers, and the regulation of proxies and tender offers. 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:
Corporations I (250A) or Corporations(250.1)
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Exam Notes: F
Course Category: Business Law
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Books:
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