255.5 sec. 001 - Securities Regulation (Fall 2022)
Instructor: Robert P Bartlett (view instructor's teaching evaluations - degree students only | profile)
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Units: 4
Grading Designation: Graded
Mode of Instruction: In-Person
Meeting:
MTuW 2:15 PM - 3:25 PM
Location: 🔒 Log-in to view location
From August 22, 2022
To November 30, 2022
Course End: November 30, 2022
Class Number: 31829
Enrollment info:
Enrolled: 72
Waitlisted: 0
Enroll Limit: 81
As of: 02/17 06:39 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:
Business Associations (may be taken concurrently)
Exam Notes: (F) In-class final exam
Exam Length: 3 hours
Course Category: Business Law
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Readers:
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Books:
Required Books are in blue
- Securities Regulation Statutory Supplement 2020
Choi
Edition: 2020
ISBN: 9781684679775
e-Book Available: No
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