Securities Regulation

Course Information

Registration Information

Meeting Times

Day Time Location
MON, WED 9:10 - 10:00 am TNH 2.123

Evaluation Method

Type Date Time Location
Final exam May 11, 2017 1:30 pm A-Z in 2.140


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.

Textbooks ( * denotes required )

Securities Regulation: Cases and Analysis *
West , edition: 4
ISBN: 9781609304195
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 *
West , edition: 2016
ISBN: 9781634606851


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Important Class Changes

Date Updated
03/10/2017 Exam information updated
Room(s) changed