About USC Gould
USC Gould is a top-ranked law school with a 115-year history and reputation for academic excellence. We are located on the beautiful 228-acre USC University Park Campus, just south of downtown Los Angeles.
Learn about our rigorous and interdisciplinary curriculum, our invaluable experiential learning opportunities, and the breadth and depth of our specialized areas of concentration and certificate offerings.
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Participate in an unparalleled learning experience with diversity of people and thought. Get involved in the law school community and participate in activities that enhance your studies.
We work closely with students, graduates and employers to support successful career goals and outcomes. Our overall placement rate is consistently strong, with 94 percent of our JD class employed within 10 months after graduation.
Our faculty is distinguished for its scholarship, as well as for its commitment to teaching. Our 12:1 student-to-faculty ratio creates an intimate and collegial learning environment.
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- + AREAS OF CONCENTRATION
- ALTERNATIVE DISPUTE RESOLUTION
- BUSINESS LAW
- MEDIA, ENTERTAINMENT AND TECHNOLOGY LAW
- PUBLIC INTEREST LAW
- + EXPERIENTIAL LEARNING
- PROGRESSIVE DEGREE CANDIDATES
- UNDERGRADUATE COURSES AND PROGRAMS
- CORPORATE AND CUSTOM EDUCATION
- + NON-DEGREE PROGRAMS
- ACADEMIC CALENDAR
- COURSE DESCRIPTIONS
- BAR ADMISSIONS
Securities Regulation (Spring 2019)
- Course Number: LAW-749
- Class Number: 03448
- Instructor: Chris O'Connell
This class 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. We shall emphasize the impact of these statutes on the companies themselves rather than on the various intermediaries in the securities markets (e.g., 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 insider trading, shareholder voting, and liability for misstatements and omissions.
Securities regulation is subject to natural evolutionary changes as well as occasional revolutionary changes. Unlike human evolution and even the evolution of many other areas of the law, these changes occur rapidly and have accelerated over the past several years. Thus, the law today is unlikely to be the law tomorrow. Our goal will be to understand the direction and drivers of the evolution to enable an understanding of the law as it evolves.
- Unit Value: 3
- Grading Options: Numerical or CR/D/F
- Schedule: M 5:30 pm - 8:00 pm
- Room Number: Room 1
- Exam: In-class exam
- Writing Requirement: No
- Skills/Experiential Unit Requirement: no
- Participation: Requested but not graded
- Pre-requisites: Business Organizations
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