Securities Regulation

Catalog description

This course addresses public and private enforcement of U.S. securities laws and regulations from the Great Depression through today. The 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 disclosure obligations related to the registration, distribution and trading of investment securities. Related to these issues, the course addresses registration exemptions, disclosure of forward-looking information, insider trading and corporate control acquisitions. The course will also examine the role that the Securities Exchange Commission and private plaintiffs play in shaping these regulations.