Securities Regulation

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
Tuesday, Thursday 3:45 - 5:35 pm TNH 2.123
Evaluation Method Date Time Alpha Range Room
Final 12/20/17 8:30 am A-Z

Additional Information

Course Type
Grading Method
Pass/Fail Allowed
Will use floating mean GPA if applicable


  • Soderquist and Gabaldon's Securities Regulation, 8th - Theresa A. Gabaldon
      Foundation Press , edition: 8th
      ISBN: 9781609304133   (required)
  • Hazen's Principles of Securities Regulation, Revised 4th (Concise Hornbook Series) - Thomas Lee Hazen
      West Academic Publishing , edition: 4th
      ISBN: 9781683288299   (optional)
  • Hazen's The Law of Securities Regulation, 7th (Hornbook Series) - Thomas Lee Hazen
      West Academic Publishing , edition: 7th
      ISBN: 9780314284549   (optional)
  • Coffee, Sale, and Henderson's Federal Securities Laws: Selected Statutes, Rules and Forms, Revised 2016-2017 Edition - John C. Coffee Jr
      Foundation Press , edition: 2016-2017
      ISBN: 9781683286837   (optional)