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. We will examine how the securities laws shape the process by which companies raise capital through IPOs, public offerings, and private placements. We will also focus on the mandatory disclosure regime for publicly traded companies and the related topics of securities fraud, insider trading, market manipulation, and shareholder voting. We will study core concepts such as the definition of a security and materiality. Finally, we will spend significant time examining the role of the SEC and private shareholder litigation in policing the securities laws. GRADING NOTICE: This class will not offer the CR/NC/H option.

FALL 2023 Schedule

Section Instructor Location Schedule Notes
A1 Webber LAW 605 MW 10:40 am-12:40 pm Stamped Approval
Class Closed

Note that this information may change at any time. Please visit the Student Link for the most up-to-date course information.