255.5 sec. 001 - Securities Regulation (Fall 2024)
Instructor: Andrew Charles Baker
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Units: 4
Grading Designation: Graded
Mode of Instruction: In-Person
Meetings:
MW 10:00 AM - 11:10 AM
Location: Law 105
From August 19, 2024
To December 02, 2024
Tu 10:00 AM - 11:10 AM
Location: Law 110
From August 19, 2024
To December 02, 2024
Course End: December 02, 2024
Class Number: 32058
Enrollment info:
Enrolled: 53
Waitlisted: 0
Enroll Limit: 100
As of: 05/15 11:57 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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Readers:
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Books:
Required Books are in blue
- Securities Regulation, Cases and Analysis
Choi, Pritchard
Edition: 6th ed (Publication Date: 05/20/2024)
Publisher: West Academic, Foundation Press
ISBN: 9781636592718
e-Book Available: Unknown
Price: To Be Determined