Law Schedule of Classes

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255.5 sec. 001 - Securities Regulation (Fall 2023)

Instructor: Andrew Charles Baker  
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Units: 4
Grading Designation: Graded
Mode of Instruction: In-Person


MTuW 11:20 AM - 12:30 PM
Location: Law 132
From August 21, 2023
To December 04, 0023

Course Start: August 21, 2023
Course End: December 04, 0023
Class Number: 31930

Enrollment info:
Enrolled: 61
Waitlisted: 0
Enroll Limit: 81
As of: 02/07 02:03 PM

The course is an introduction to the Securities Act of 1933 and the Securities and Exchange Act of 1934 and consists of three main parts. Part One is an introduction to securities regulation, financial innovation, and mandatory disclosure. Part Two discusses mandatory disclosure in greater depth, beginning with public offerings—including the traditional registration process, gun jumping, alternative registration procedures, and liability rules. Next, the boundaries of the 1933 Act are explored, with a focus on exempt securities, exempt transactions, and secondary distributions. Financial reporting is also discussed. Finally, Part Three explores securities litigation.

Exam Notes: (F) In-class final exam
Exam Length: 4 hours
Course Category: Business Law

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Required Books are in blue

  • Securities Regulation Statutory Supplement, 2022 Edition
    Stephen Choi, A. C. Pritchard
    Publisher: Foundation Press
    ISBN: 9781636598970
    e-Book Available: unknown
    Price: To Be Determined
  • Securities Regulation: Cases and Analysis (5th Edition)
    Stephen Choi and Adam Pritchard
    ISBN: 9781640209718
    e-Book Available: Unknown
    Copyright Date: To Be Determined
    Price: To Be Determined

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