Securities Regulation (Zoom-only Class)

Section 1ZO, Spring 21

Schedule Information

Enrollment: 51/80
Credits: 4
Day Time Room Start Date End Date
  • TRF
  • 0930-1040
  • WWW
01/26/2021 04/30/2021

Course Description

This course is an introduction to the statutes administered by the Securities and Exchange Commission and the rules the SEC promulgates under them. They regulate companies whose securities are sold into and traded in securities markets and financial institutions that market and trade those securities. The course introduces students to (1) the impact of the securities statutes on the governance and financing of a public company and (2) the major financial intermediaries that make up the securities industry. It also provides a case study in the techniques and culture of the modern administrative state through close scrutiny of the SEC's policies and procedures. The course will help prepare students to work on standard securities transactions or to be an effective member of a litigation team representing a party in securities litigation, both substantial practice areas in law firms.

Course Requirements

Exam Info:
Midterm Type (if any): None
Description: None

Final Type (if any): Flex
Description: Flex exam at end of semester.

Written Work Product
Written Work Product:

Other Work

Other Course Details
Prerequisites: (Corporations (6103) OR Corporations (Law & Business) (6109)) Concurrencies: None
Mutually Exclusive With: Securities Regulation (Law & Business) (8017)
Laptops Allowed: Yes
First Day Attendance Required: No
Course Resources: To be announced.
Course Notes:

Graduation Requirements

*Satisfies Writing Requirement: No
**Credits For Prof. Skills Requirement: No
Satisfies Professional Ethics: No

*Yes means professor requires everyone in the course to submit a substantial research paper (which is the requirement standard in Academic Policies), so no paperwork required to be submitted to SRO. No means student must timely submit paperwork to SRO if intending to use a paper in this course to satisfy the Writing Requirement.

**Yes indicates course credits count towards UVA Law’s Prof. Skills graduation requirement, not necessarily a skills requirements for any particular state bar.

Schedule No.
Law No.
Modified Type
Cross Listed: No
Cross-Listed Course Mnemonic:
Public Syllabus Link: None
Evaluation Portal Via LawWeb Opens: Tuesday, April 20, 12:01 AM
Evaluation Portal Via LawWeb Closes: Sunday, May 02, 11:59 PM