Securities Regulation
Course Information
- Course Number
- L6423
- Curriculum Level
- Upperclass
- Areas of Study
- Administrative Law and Public Policy, Corporate Law, Business, and Finance
- Type
- Lecture
Section 002 Information
Instructor
Merritt B. Fox
Arthur Levitt Professor of Law
Section Description
This course starts with a study of mandatory affirmative issuer disclosure requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. These requirements are triggered by the public offering of an issuer's securities and by their trading in public markets. The sanctions, including civil damage liability, for violating these requirements are considered as well as available exemptions. The course then proceeds to study the securities law regulation of insider trading, false or misleading corporate statements, and current policy issues including cybersecurity, initial coin offerings (ICOs) and short attacks on public companies.
Please note: This section focuses heavily on securities litigation and enforcement, with less of an emphasis on the registration process than other sections of Securities Regulation. The course also takes an economic approach with a focus on cutting-edge policy issues.
Please do not contact the professor for CoRequisite exemption.
- School Year & Semester
- Spring 2025
- Location
- WJWH 311
- Schedule
-
Class meets on
- Monday
- Tuesday
- Wednesday
- Points
- 4
- Method of Evaluation
- Exam
- J.D Writing Credit?
- No
Course Limitations
- Instructor Pre-requisites
- None
- Instructor Co-Requisites
- Corporations or, for LLMs, significant corporate practice experience
- Requires Permission
- No
- Recommended Courses
- None
- Other Limitations
- None
Additional Section for Securities Regulation
School Year & Semester
Fall 2024
Instructor
Points
4School Year & Semester
Spring 2025
Instructor
Points
4