Securities Regulation

This course provides an overview of the regulation of securities offerings and trading under 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, as well as the role of the Securities Exchange Commission and private plaintiffs in shaping and enforcing these disclosure obligations. Topics to be covered include: public offerings of securities and the registration process under the Securities Act of 1933, the disclosure obligations of publicly-traded issuers, and the role of anti-fraud rules in the issuance and trading of securities. Elements used in grading: Attendance, Class Participation, Final Exam.