Securities Regulation (Law & Business)

LAW8017

Section 1, Fall 24

Schedule Information

Enrollment: 39/64

Credits: 4

Days	Time	Room	Start Date	End Date
Mon , Wed	0930-1120	SL294	08/28/2024	12/04/2024

Course Description

The course will examine the federal statutes and regulations relating to the sale of securities and the duties of issuers, underwriters, brokers, dealers, officers, directors, controlling persons, and other significant market participants. We will discuss the regulation of public and private offerings, trading markets, and disclosure and corporate governance of publicly traded companies. This Law and Business version of the class will offer extended coverage of securities law topics, as well as more in depth treatment of financial and business details.

Course Requirements

Exam Information

Final Type (if any): Flex

Description: Flex exam at end of the semester.

Other Course Details

Prerequisites: Students in this course are expected to have knowledge and familiarity with basic accounting and corporate finance. Satisfactory completion of Law 6100 and Law 6101 would meet this expectation, but it could also be met by coursework in college or work experience. If a student has knowledge/familiarity of accounting and corporate finance from other college-level coursework or work experience, but is unsure whether their exposure meets the instructor’s expectations, such students are encouraged to discuss it with the instructor. Concurrencies: Corporations (LAW 6103) or Corporations (Law & Bus.) (LAW 6109) are recommended, but not required, courses to have taken previously or concurrently with this course.

Exclusive With: Securities Regulation (8016)

Laptops Allowed: Yes

First Day Attendance Required: No

Course Resources: To be announced via Canvas.

Course Notes: This course is part of the Law School's Law and Business Program and assumes basic knowledge of accounting and corporate finance. In addition to the coverage of the "regular" Securities Regulation course, we will explore topics such as accounting standards, the lawyer's role in verifying financial information, and the use of finance theory in securities litigation.

Graduation Requirements

Satisfies Understanding Bias/Racism/Cross-Cultural Competency requirement: No

Satisfies Writing Requirement: No

Credits For Prof. Skills Requirement: No

Satisfies Professional Ethics: No

Additional Course Information

Schedule No.: 124820852

Modified Type: Lecture

Cross Listed: No

Waitlist Count: 0

Concentrations: Business Organization and Finance

Information reflected on this page was last refreshed at: Wednesday, June 11, 2025 - 9:12 AM *

*During open enrollment periods, live enrollment data may be found in SIS.