Securities Regulation

Class Unique: 28461
Virtually any raising of capital implicates the securities laws. The goal of this course, then, is for students to learn the mechanics of public and private offerings of securities, and to understand the reporting and disclosure requirements that issuing securities entails. This course is particularly important for students who expect to work either in business litigation or transactional law. Topics include public offerings, exempt (i.e., private) offerings, public company regulation and exemption, and, to the extent time permits, secondary market issues such as securities fraud, insider trading, and the regulation of financial intermediaries (such as broker-dealers and investment advisers). Please be aware that this course makes use of economics and math (this is not an arbitrary imposition: courts deciding securities cases make use of economics and math, such as net present valuation and the Efficient Capital Markets Hypothesis). No prior background, beyond a reasonable high school education, in these areas is required -- concepts will be introduced as needed -- although a willingness to engage economics and math is absolutely necessary.

Class Details

Meeting Days Time Location
Monday, Wednesday 11:50 am - 1:05 pm TNH 2.138
Evaluation Method Date Time Alpha Range Room
Final 5/10/16 8:30 am 2.140

Additional Information

Course Type
Grading Method
Pass/Fail Allowed


  • The Law of Securities Regulation - Hazen
      West Law School
      ISBN: 9780314187970   (optional)
  • Federal Securities Laws: Selected Statutes, Rules and Forms - Coffee and Sale
      Foundation Press , edition: 2015
      ISBN: 978-1628100778   (required)
  • Securities Regulation - Soderquist and Gabaldon
      Foundation Press , edition: 8th
      ISBN: 978-1609304133   (required)