Securities Regulation

Semester: Spring 2014
Course ID: 384N
Credit Hours: 3
Unique: 29730

Course Information

Registration Information

Upperclass-only elective

Meeting Times

Day	Time	Location
MON, TUE, WED	8:00 - 9:00 am	TNH 2.124

Evaluation Method

Type	Date	Time	Location
Final exam	May 6, 2014	8:30 am	A-P in 2.123 Q-Z in 3.129

Description

Securities law is important, not only for litigators and transactional lawyers at law firms or in in-house positions, but also for policy-makers, enforcement lawyers, and others in government service. Corporations, be they small start-ups or long-established entities, raise capital in public and private offerings of securities. The offerings are subject to securities statutes and Securities and Exchange Commission rules and policies. In addition, all publicly held companies (irrespective of whether they are engaged in any fund-raising) must observe a variety of disclosure and related requirements dictated in large part by securities statutes, rules, and policies. Failures to comply might result in highly consequential private and public litigation. Broadly speaking, federal securities regulation is displacing state corporate law as the primary legal influence on how corporations function and is also a focal point for the governance of financial markets and institutions. Topics will include the preparation of disclosure documents, exemptions from disclosure requirements, and liability under anti-fraud rules. This course will also consider such related matters matters as how market forces influence corporate governance and the evolution of new financial products and trading systems. No prior business or financial background is required. Prerequisite: Business Associations, Business Associations (Enriched), or Corporations. This course is closed to students who have taken or are taking the Securities Regulation Workshop.

Textbooks ( * denotes required )

Securities Regulation - Cases & Mtls *

John Coffee & Hillary Sale

Foundation , edition: 12th Edition
ISBN: 978-1-60930-116-3

2013 Case Supp to Securities Regulation *

John Coffee & Hillary Sale

Foundation , edition: 2013
ISBN: 9781609304157

2014 Securities Regulation: Selected Statutes, Rules and Forms *

Thomas Lee Hazen

West , edition: 2014
ISBN: 9780314282279

Sales Office materials *

Instructors

Hu, Henry T. C.