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Course Descriptions

Course Descriptions

Securities Regulation (Spring 2018)

  • Course Number: LAW-749
  • Class Number: 03448
  • Instructor: Christopher O'Connell

Course Description

Securities Regulation will focus on the two federal securities statutes (Securities Act of 1933 and Securities Exchange Act of 1934) that are generally applicable to companies seeking to sell their securities and to companies that are already public.  Our emphasis will be on the impact of these statutes on the companies themselves rather than on the various intermediaries in the securities markets (brokers, exchanges, rating agencies, transfer agents, etc.).  We shall start with the Securities Act of 1933 and the definition of a security for purposes of the statutes, then discuss how companies may sell securities both privately and publicly and review certain of the liability provisions of the Securities Act of 1933.  We’ll then move to a review of certain provisions of the Securities Exchange Act of 1934 dealing primarily with tender offers, insider trading, and liability for misstatements and omissions.

Course Details

  • Unit Value: 3
  • Grading Options: Numerical or CR/D/F
  • Schedule: M 5:30 pm - 8:00 pm
  • Room Number: Room 3
  • Exam: In-class exam
  • Writing Requirement: No
  • Skills/Experiential Unit Requirement: no
  • Pre-requisites: Business Organizations