Law Schedule of Classes

NOTE: Course offerings change. Classes offered this semester may not be offered in future semesters.


255.5 sec. 001 - Securities Regulation (Fall 2019)

Instructor: Robert Bartlett  (view instructor's teaching evaluations - degree students only | profile)
View all teaching evaluations for this course - degree students only

Units: 4

Meeting:

    MTuW 2:15 PM - 3:25 PM
    Location: Law 132
    From August 19, 2019
    To November 26, 2019

Course Start: August 19, 2019
Course End: November 26, 2019
Class Number: 32412

Enrollment info:
Enrolled: 59
Waitlisted: 0
Enroll Limit: 60
As of: 04/07 11:14 PM


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 (may also be taken concurrently)

Exam Notes: (F) In-class final exam
Course Category: Business Law

The following file is available for this course:

First Assignment

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Readers:
No reader.

Books:
Required Books are in blue

  • Securities Regulation Statutory Supplement 2019
    Choi
    Edition: 2019
    ISBN: 9781642429183
    e-Book Available: unknown
    Copyright Date: To Be Determined
    Price: $47.00
    Price Source: user provided
  • Securities Regulation, Cases & Analysis (Casebook)
    Choi
    Edition: 5th 2019
    ISBN: 9781640209718
    e-Book Available: unknown
    Copyright Date: To Be Determined
    Price: 239.00
    Price Source: user provided

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