Securities Regulation

Course Information

Registration Information

Meeting Times

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

Evaluation Method

Type Date Time Location
Final May 9, 2020


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 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 whatsoever is required. The only prerequisite is: Business Associations, Business Associations (Enriched), Business Associations for LLM's, or Corporations.

Textbooks ( * denotes required )

Securities Regulation: Cases and Materials *
Coffee, Sale, and Henderson
Foundation Press , edition: Thirteenth
ISBN: 978-1-62810-219-2
2018 Case Supplement to Securities Regulation: Cases and Materials *
Coffee. Sale, and Whitehead
Foundation Press , edition: 2018
ISBN: 9781642425390
Sales Store materials *
Federal Securities Laws - Selected Statutes, Rules and Forms -2019-2020 Edition *
Coffee, Sale, and Whitehead
Foundation , edition: 2019-2020
ISBN: 9781642429398


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Important Class Changes

Date Updated
04/20/2020 Exam information updated