Securities Regulation

Course Information

Registration Information

Meeting Times

Day Time Location
TUE, THU 3:45 - 5:35 pm TNH 2.123

Evaluation Method

Type Date Time Location
Final exam December 20, 2017 8:30 am A-Z in 2.139


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.

Textbooks ( * denotes required )

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


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Important Class Changes

Date Updated
11/01/2017 Exam information updated