Securities Regulation
SLN #: 27007Course Prefix: LAW-640
Course Section: 1001
Credit Hours: 3
Instructor(s): Gubler
Course Books: View List of Books
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/Upper-Level Writing Requirement: No
Skills Requirement: No
Simulation Course: No
Experiential Learning: No
Seminar: 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.
Special Withdrawal Course: No
Final Exam Given: Yes
Final Exam Type: In-Class - Completely Secure
Attendance Policy: Per Statement Of Student Policies
Teaching Method: In Person
* The law school has a policy that is used to calculate credit hours. Please see the Statement of Student Policies.