Securities Regulation

Course Information

Registration Information

Meeting Times

Day Time Location
TUE, WED, THU 10:15 - 11:22 am JON 6.206

Evaluation Method

Type Date Time Location


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. Absent special circumstances, students are strongly encouraged to have completed “Business Associations” or “Business Associations (Enriched)” before taking this course.

Textbooks ( * denotes required )

Securities Regulation *
Gabaldon, Theresa and Soderquist, Larry
West Academic , edition: 9
ISBN: 978-1-68328-712-4


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Important Class Changes

Date Updated
04/12/2021 Room(s) changed