255.5S sec. 001 - Securities Regulation (Summer 2022)
Instructor: Stavros Gadinis (view instructor's teaching evaluations - degree students only | profile)
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Units: 3
Grading Designation: Graded
Mode of Instruction: In-Person
Meeting:
MTuWThF 09:00 AM - 12:00 PM
Location: Law 244
From May 17, 2022
To June 03, 2022
Class Number: Click to show Class Number
Enrollment info:
Enrolled: 10
Waitlisted: 0
Enroll Limit: 34
As of: 10/18 06:15 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 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.
Exam Notes: (TH) Take-home examination
Course Category: Business Law
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