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Sep 07, 2024
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2021-2022 Law Bulletin [ARCHIVED CATALOG]
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LAW 7460 - Securities Regulation 2 to 3 Credit Hours
Description This is an elective course. This course introduces students to the law capital markets and conducts in an in-depth study of the federal securities laws, with emphasis on the Securities Act of 1933 and the Securities Exchange Act of 1934, which regulate the distribution of and trading in securities. The subjects to be examined include the structure and operation of the Securities and Exchange Commission (SEC), the definition of a “security”, securities law reporting and disclosure obligations, the “registration” of securities for sale to the public, the numerous exemptions from the registration requirements, the structure of U.S. capital markets, the debate and market “efficiency,” and the causes of actions available to plaintiffs under the securites laws. The course is essential for any student intending to advise clients on how to raise capital and the disclosure requirements in both public and private transactions. It is highly recommended for students interested in general business transactions and litigation, or in-house counsel positions. This course is intended to either follow, or be taken concurrently with the Corporations course.
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