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255.5 sec. 1 - Securities Regulation (Fall 2012)

Instructor: Stavros Gadinis  (view instructor's teaching evaluations | profile)
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Units: 4
Meeting Time: WThF 11:20-12:30
Meeting Location: 100

Course Start: August 22, 2012
Course Control Number (Non-1Ls): 49658


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

Exam Notes: F
Course Category: Business Law

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Books:
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  • Securities regulation
    James D. Cox, Robert W. Hillman, Donald C. Langevoort
    Publisher: New York : Aspen Publishers, c2009.
    ISBN: 9780735578050
    Copyright Date: To Be Determined
    Price: $88.00
    Note: prices are sampled from internet bookstores. Folletts prices are unavailable at this time.

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