Law Schedule of Classes

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255.5 sec. 001 - Securities Regulation (Fall 2021)

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

Units: 4
Grading Designation: Graded
Mode of Instruction: In-Person

Meeting:

    MTuW 2:15 PM - 3:25 PM
    Location: Law 132
    From August 16, 2021
    To November 22, 2021

Course Start: August 16, 2021
Course End: November 22, 2021
Class Number: 31704

Enrollment info:
Enrolled: 77
Waitlisted: 0
Enroll Limit: 81
As of: 12/07 04:31 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:
Law 250 Business Associations (pre-requisite or co-requisite)

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

The following files are available for this course:

First Assignment
Syllabus

If you are the instructor or their FSU, you may edit your files on this page.

Readers:
No reader.

Books:
Required Books are in blue

  • Securities Regulation Statutory Supplement 2020
    Choi
    Edition: 2020
    ISBN: 9781684679775
    e-Book Available: Yes
    e-Book procurement note: https://www.westacademic.com/Securities-Regulation-Statutory-Supplement-2020-Edition-9781684679775
    Copyright Date: To Be Determined
    Price: $48.00
    Price Source: user provided
  • Securities Regulation, Cases & Analysis
    Choi
    Edition: 5th ed., 2019
    ISBN: 9781640209718
    e-Book Available: Yes
    e-Book procurement note: https://www.westacademic.com/Choi-and-Pritchards-Securities-Regulation-Cases-and-Analysis-5th-9781640209718
    Copyright Date: To Be Determined
    Price: 239.00
    Price Source: user provided

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