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255.5 sec. 1 - Securities Regulation (Spring 2012)

Instructor: Robert Bartlett  (view instructor's profile)
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Units: 4
Meeting Time: MTuW 10:00-11:10
Meeting Location: Booth Aud

Course Start: January 09, 2012
Course Control Number (Non-1Ls): 49778

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.

Students must have taken Business Associations or must be concurrently enrolled in it.

Exam Notes: F
Course Category: Business Law

The following file is available for this course:

First Assignment

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Required Books are in blue

  • Securities Regulation Statutory Supplement, 2011
    Stephen Choi, A. C. Pritchard,
    Publisher: Foundation Press
    ISBN: 9781609300050
    Copyright Date: To Be Determined
    Price: To Be Determined
  • Securities Regulation: Cases and Analysis 3rd Edition
    Stephen J. Choi, A. C. Pritchard
    Publisher: West
    ISBN: 9781599419237
    Copyright Date: To Be Determined
    Price: 179.00
    Note: prices are sampled from internet bookstores. Ned's prices are unavailable at this time.

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