Securities Regulation

LAW JD 883

This course offers an introduction to federal securities regulation under the Securities Act of 1933 and the Securities Exchange Act of 1934. Using case studies involving familiar companies such Google and Facebook, we will examine how federal securities regulation shapes the process by which companies raise capital, whether in a venture capital transaction, an IPO or a public offering by a Fortune 500 company. We will also focus on the mandatory disclosure regime for publicly traded companies, the related topics of securities fraud and insider trading, and core concepts such as the definition of a security and materiality. PREREQUISITE/COREQUISITE: Corporations is suggested but not required. GRADING NOTICE: This course is NOT offered as CR/NC/H.