Securities Regulation (Law & Business)

Section 1, Fall 21

Schedule Information

Enrollment: 21/50
Credits: 4
Day Time Room Start Date End Date
  • MW
  • 0900-1100
  • WB101
08/25/2021 12/01/2021

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

Written Work Product
Written Work Product:

Other Work

Other Course Details
Prerequisites: (Corporations (6103) OR Corporations (Law & Business) (6109)) 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: A student may request a waiver of the Corporations prerequisite from the instructor if enrolled in LAW 6103 or 6109 concurrently with this course. The waiver must be provided to SRO (a forwarded email from the instructor is acceptable).
Mutually Exclusive With: Securities Regulation (8016)
Laptops Allowed: Yes
First Day Attendance Required: No
Course Resources: To be announced.
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 Writing Requirement: No
**Credits For Prof. Skills Requirement: No
Satisfies Professional Ethics: No

*If “Yes,” then students are required to submit a substantial research paper in this course, which means students do not need to submit any form to SRO for this paper to meet their upper-level writing requirement. If “No,” then students must submit a “special request” e-form to SRO (available via LawWeb) no later than five weeks after the start of the term for a paper in this class to be counted toward the upper-level 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: Sunday, November 28, 12:01 AM
Evaluation Portal Via LawWeb Closes: Friday, December 03, 11:59 PM