Securities Regulation



SLN #: 21734
Course Prefix: LAW-640
Course Section: 001
Credit Hours: 3
Instructor(s): Gubler

Course Description:
This course offers an introduction to the two most important federal securities laws: the Securities Act of 1933 and the Securities Exchange Act of 1934. The course explores the elaborate disclosure obligations that this country imposes on the distribution and trading of investment securities. Topics to be covered include the preparation of disclosure documents, exemptions from disclosure requirements, the relationship between disclosure obligations and anti-fraud rules, the duties of participants in securities transactions, insider trading and the role of state securities regulators in the overall regulatory scheme.

This course should be of interest to students preparing for corporate practice or work with financial regulatory bodies, but also to those interested in the development of the modern regulatory state, as exemplified by evolution of federal securities laws under the Securities and Exchange Commission.

Additional Information:
Credit Hours: 3
Grading Option: Letter Grade Only
Graduation Writing Requirement: No
Flexible Writing Requirement: No
Skills Requirement: No
Prerequisite: Business Organizations. Professor will consider on a case by case basis individuals who want to take Securities Regulation but who have not yet taken Business Organizations or are taking it concurrently
Final Exam Given: Yes
Final Exam Type: In-Class
Attendance Policy: Per Statement of Student Policies
Additional Attendance Policy: Attendance and preparation are expected
Online Course Site: None