Securities Regulation

Course Information

Registration Information

Meeting Times

Day Time Location
MON, TUE, WED 8:00 - 8:55 am TNH 2.123

Evaluation Method

Type Date Time Location
Final exam (administered by Exam4 in Closed mode) May 1, 2024 8:30 am A-Z in 3.126


Securities law is important, not only for litigators and transactional lawyers at law firms and 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. Moreover, whether or not they are raising capital, all publicly held companies must observe a variety of disclosure and related requirements flowing in large part from securities statutes, rules, and policies. Failures to comply can result in highly consequential private litigation and public enforcement. Broadly speaking, federal securities regulation is displacing state corporate law as the primary legal influence on how publicly held corporations function and is also a focal point for the governance of financial markets. 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 as how market forces influence corporate governance and how financial advances (such as the efficient markets hypothesis) and financial innovation are affecting corporations, investors, and capital markets. No prior business or financial background whatsoever is required. The only prerequisite is: Business Associations or Business Associations (Enriched).

Textbooks ( * denotes required )

Securities Regulation *
Coffee, Jr., John, Sale, Hillary, Whitehead, Charles, Coffee Jr., John
West Academic , edition: 14
ISBN: 978-1-64708-775-3
Federal Securities Laws : Selected Statutes, Rules, and Forms, 2023-2024 Edition *
Coffee, Jr., John, Sale, Hillary, Whitehead, Charles
West Academic
ISBN: 979888786046-6


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Important Class Changes

Date Updated
03/29/2024 Exam information updated