Law Schedule of Classes

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Apart from their assigned mod courses, 1L students may only enroll in courses offered as 1L electives. A complete list of these courses can be found on the 1L Elective Listings page. 1L students must use the 1L class number listed on the course description when enrolling.


255.5 sec. 001 - Securities Regulation (Spring 2021)

Instructor: Stavros Gadinis  (view instructor's teaching evaluations - degree students only | profile)
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Units: 4
Grading Designation: Graded
Mode of Instruction: Remote Instruction

Meeting:

    MTuTh 10:00 AM - 11:10 AM
    Location: Internet/Online
    From January 19, 2021
    To May 04, 2021

Course Start: January 19, 2021
Course End: May 04, 2021
Class Number: 31673

Enrollment info:
Enrolled: 77
Waitlisted: 0
Enroll Limit: 80
As of: 05/08 05:45 AM


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:
Law 250 Business Associations is strongly recommended

Exam Notes: (TH) Take-home examination
Course Category: Business Law

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Readers:
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Books:
Required Books are in blue

  • Securities Regulation: Cases and Materials
    James D. Cox, Robert W. Hillman, Donald C. Langevoort
    Edition: 9th ed/2020
    Publisher: Wolters Kluwer/Aspen Publishers
    ISBN: 9781543810646
    e-Book Available: Yes
    e-Book procurement note: https://www.amazon.com/Securities-Regulation-Cases-Materials-Casebook-ebook-dp-B081SBGQBJ/dp/B081SBGQBJ/ref=mt_other?_encoding=UTF8&me=&qid=
    Copyright Date: To Be Determined
    Price: $294.00
    Price Source: user provided

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