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Securities Regulation

Current Offerings

Securities Regulation (1027): This course provides an overview of the regulation of securities offerings and trading under the Securities Act of 1933 and the Securities Exchange Act of 1934. The course explores the elaborate disclosure obligations that this country imposes on the distribution and trading of investment securities, as well as the role of the Securities Exchange Commission and private plaintiffs in shaping and enforcing these disclosure obligations. Topics to be covered include: public offerings of securities and the registration process under the Securities Act of 1933, the disclosure obligations of publicly-traded issuers, and the role of anti-fraud rules in the issuance and trading of securities. Elements used in grading: Attendance, Class Participation, Final Exam.

Sections

Securities Regulation | LAW 1027 Section 01 Class #1126

  • 4 Units
  • Grading: Law Honors/Pass/Restrd Cr/Fail
  • Exam:
    • One-Day Take-Home Exam
  • Exam:
      • Details to come
  • Learning Outcomes Addressed:
    • LO1 - Substantive and Procedural Law
    • LO2 - Legal Analysis and Reasoning
    • LO7 - Professional Skills
  • Course Category:
    • Business Law

  • 2023-2024 Spring ( )
  • Mon, Wed, Thu
  • Room: LAW 190

Past Offerings

Securities Regulation (1027): This course provides an overview of the regulation of securities offerings and trading under the Securities Act of 1933 and the Securities Exchange Act of 1934. The course explores the elaborate disclosure obligations that this country imposes on the distribution and trading of investment securities, as well as the role of the Securities Exchange Commission and private plaintiffs in shaping and enforcing these disclosure obligations. Topics to be covered include: public offerings of securities and the registration process under the Securities Act of 1933, the disclosure obligations of publicly-traded issuers, and the role of anti-fraud rules in the issuance and trading of securities. Elements used in grading: Attendance, Class Participation, Final Exam.

Sections

Securities Regulation | LAW 1027 Section 01 Class #1152

  • 4 Units
  • Grading: Law Honors/Pass/Restrd Cr/Fail
  • 2022-2023 Autumn
    Schedule No Longer Available
  • Exam:
    • One-Day Take-Home Exam
  • Exam:
      • Remote: Details to come
  • Learning Outcomes Addressed:
    • LO1 - Substantive and Procedural Law
    • LO2 - Legal Analysis and Reasoning
    • LO7 - Professional Skills
  • Course Category:
    • Business Law

  • 2022-2023 Autumn
    Schedule No Longer Available

Securities Regulation (1027): This course provides an overview of the regulation of securities offerings and trading under the Securities Act of 1933 and the Securities Exchange Act of 1934. The course explores the elaborate disclosure obligations that this country imposes on the distribution and trading of investment securities as well as the role of the Securities Exchange Commission and private plaintiffs in shaping and enforcing these disclosure obligations. Topics to be covered include: public offerings of securities and the registration process under the Securities Act of 1933, exemptions from these registration requirements and the role of exemptions in the financing of private and public firms, and the disclosure obligations of publicly-traded issuers. The course will also examine the role of anti-fraud rules in the issuance and trading of securities as well as liability for insider trading. Elements used in grading: Attendance, Class Participation, Final Exam.

Sections

Securities Regulation | LAW 1027 Section 01 Class #1167

  • 4 Units
  • Grading: Law Honors/Pass/Restrd Cr/Fail
  • 2021-2022 Spring
    Schedule No Longer Available
  • Exam:
    • Take-home Final
  • Exam:
      • Remote: Details to come
  • Learning Outcomes Addressed:
    • LO1 - Substantive and Procedural Law
    • LO2 - Legal Analysis and Reasoning
    • LO7 - Professional Skills
  • Course Category:
    • Business Law

  • 2021-2022 Spring
    Schedule No Longer Available
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