Securities Regulation

Class Unique: 29140
This course offers an introduction to the two most important federal securities laws: the Securities Act of 1933 and the Securities Exchange Act of 1934. The course explores the elaborate disclosure obligations these statutes impose on the distribution and trading of investment securities. Topics to be covered include the preparation of disclosure documents, exemptions from disclosure requirements, the relationship between disclosure obligations and anti-fraud rules, the duties of participants in securities transactions, and the applicability of federal securities laws to transnational transactions. The course will also explore the public and private enforcement of securities laws in the United States. Most students find it helpful to have completed or to take concurrently a course in Business Associations before taking Securities Regulation.

Class Details

Meeting Days Time Location
Monday, Wednesday 9:10 - 10:00 am TNH 2.123
Evaluation Method Date Time Alpha Range Room
Final 5/11/17 1:30 pm A-Z

Additional Information

Course Type
Grading Method
Pass/Fail Allowed


  • Securities Regulation: Cases and Analysis - Choi/Pritchard
      West , edition: 4
      ISBN: 9781609304195   (required)
  • Students Law Libraries Legal Professionals General Interest Law Advanced Search Book Type Popular Subjects All Subjects Study Aids Hornbooks & Treatises Series Search Visit: Faculty Site Reseller Site Support REGISTER MY ACCOUNT MY CART:0 ITEMS Choi and Pritchard's Securities Regulation Statutory Supplement, 2016 Edition - Choi/Pritchard
      West , edition: 2016
      ISBN: 9781634606851   (required)