Securities Regulation

Section 1, Fall 22

Schedule Information

Enrollment: 3/16
Credits: 3
Days* Time Room Start Date End Date
  • MTR
  • 1300-1400
  • WB129
08/30/2022 12/06/2022
*“R” means Thursday

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:
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

*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: Wednesday, November 30, 12:01 AM
Evaluation Portal Via LawWeb Closes: Friday, December 09, 11:59 PM