Securities Regulation (Law & Business)

Section 1, Fall 15

Schedule Information

Enrollment: 41/64
Credits: 3

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.

Course Requirements

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

Final Type (if any):

Written Work Product
Written Work Product:

Other Work
Flex examination at end of the semester.

Other Course Details
Prerequisites: Corporations or Corporations (Law & Business) is a prerequisite or a corequisite; Accounting and Corporate Finance, or waiver of same based on equivalent undergraduate, graduate or practical training in both subjects. To obtain waiver, student must conta Concurrencies: None
Mutually Exclusive With: Securities Regulation
Laptops Allowed: Yes
First Day Attendance Required: No
Course Notes: This course is part of the Law School’s Law & 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

*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.

General Information

Schedule No.
Law No.
Modified Type
Cross Listed: No
Cross-Listed Course Mnemonic:
Public Syllabus Link: None
Evaluation Portal Via LawWeb Opens:
Evaluation Portal Via LawWeb Closes: