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255.5 sec. 1 - Securities Regulation (Spring 2011)

Instructor: Robert Bartlett  (view instructor's profile)
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Units: 4
Meeting Time: MW 11:20-12:30 & Tu 11:20-12:30
Meeting Location: 170/100

Course Start: January 10, 2011
Course Control Number (Non-1Ls): 49726


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 (or Corps I)

Exam Notes: F
Course Category: Business Law

The following file is available for this course:

First Assignment

If you are the instructor or their FSU, you may edit your files.

Readers:
No reader.

Books:
Required Books are in blue

  • Securities Regulation Statutory Supplement, 2010 ed.
    Stephen J. Choi, A. C. Pritchard
    Edition: 2010
    Publisher: Foundation
    ISBN: 9781599418421
    Copyright Date: To Be Determined
    Price: $37.00
    Note: prices are sampled from internet bookstores. Folletts prices are unavailable at this time.
  • Securities Regulation: Cases and Analysis Second Edition
    Stephen J. Choi, A. C. Pritchard,
    Publisher: Foundation Press
    ISBN: 9781599413808
    Copyright Date: To Be Determined
    Price: 97.8
    Note: prices are sampled from internet bookstores. Ned's prices are unavailable at this time.

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