Law Schedule of Classes

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255.5S sec. 001 - Securities Regulation (Summer 2021)

Instructor: Stavros Gadinis  (view instructor's teaching evaluations - degree students only | profile)
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Units: 3
Grading Designation: Graded
Mode of Instruction: Hybrid

Meeting:

    MTuWThF 09:00 AM - 12:40 PM
    From May 25, 2021
    To June 09, 2021

Summer Quarter: 1
Class Number: Click to show Class Number

Enrollment info:
Enrolled: 14
Waitlisted: 0
Enroll Limit: 44
As of: 09/01 10:35 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 and 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.

This course will meet in-person on campus on June 2nd, 3rd, 4th, 7th, and 8th in Warren (room 295).

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
    Cox
    Edition: 9th 2020
    Publisher: Aspen Casebook
    ISBN: 9781543810646
    e-Book Available: Yes
    e-Book procurement note: https://www.vitalsource.com/products/securities-regulation-james-d-cox-robert-w-v9781543816846?term=978-15438-1684-6
    Copyright Date: To Be Determined
    Price: $330.25
    Price Source: user provided

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