Apart from their assigned mod courses, 1L students may only enroll in courses offered as 1L electives. A complete list of these courses can be found on the 1L Elective Listings page. 1L students must use the 1L class number listed on the course description when enrolling.
255.5 sec. 001 - Securities Regulation (Spring 2026)
Instructor: Andrew Charles Baker (view instructor's teaching evaluations - degree students only)
View all teaching evaluations for this course - degree students only
Units: 4
Grading Designation: Graded
Mode of Instruction: In-Person
Meeting:
MTuW 10:00 AM - 11:10 AM
Location: Law 140
From January 12, 2026
To April 28, 2026
Course End: April 28, 2026
Class Number: 33061
Enrollment info:
Enrolled: 42
Waitlisted: 0
Enroll Limit: 68
As of: 06/18 08:05 AM
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.
View teaching evaluations for this class - degree students only
Exam Notes: (F) In-person Final Exam
(Subject to change by faculty member only through the first two weeks of instruction)
Exam Length: 4 hours
Course Category: Business Law
If you are the instructor or their FSU, you may review any previously attached files like a syllabus or a first assignment.
Class materials may also be available on bCourses.berkeley.edu
Readers:
No reader.
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 - Securities Regulation Statutory Supplement, 2025 Edition
Stephen J. Choi | A.C. Pritchard
ISBN: 9798895453698
e-Book Available: Unknown
Price: To Be Determined