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255.5 sec. 1 - Securities Regulation (Spring 2014)

Instructor: Robert Bartlett  (view instructor's teaching evaluations | profile)
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Units: 4
Meeting Time: MTuW 10:00-11:10
Meeting Location: 132

Course Start: January 06, 2014
Class Number (formerly Course Control Number) (Non-1Ls): 49751

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.

Business Associations

Exam Notes: F
Course Category: Business Law
This course is cross-listed in the following categories:
Law and Economics

The following file is available for this course:

First Assignment

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Required Books are in blue

  • Securities Regulation Statutory Supplement
    Stephen J. Choi, A. C. Pritchard,
    Edition: 2013
    Publisher: Foundation Press
    ISBN: 9781609303730
    Copyright Date: To Be Determined
    Price: $35.00
    Price Source: user provided
  • Securities Regulation: Cases and Analysis, 3d
    Stephen Choi, A. C. Pritchard,
    Edition: 2012
    Publisher: Foundation Press
    ISBN: 9781599419237
    Copyright Date: To Be Determined
    Price: 205.00
    Price Source: user provided

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