Advanced Topics in Securities Regulation

Section 1, Spring 16

Schedule Information

Enrollment: 14/20
Credits: 3

Course Description

The course will examine several areas of securities regulation not covered in the introductory Securities Regulation course. These areas will involve sophisticated or controversial issues often faced in law practice today. We will cover a series of topics including most but not necessarily all of the following:   Sensitive disclosure issues for publicly reporting companies, such as discovery of serious internal misconduct, director resignation, or adverse product news, Structure and disclosure of a complex securities transaction, Fundamentals of broker-dealer and exchange regulation, Current issues in insider trading compliance and enforcement, Current issues in litigation and enforcement, such as the scope of Rule 10b-5 and the application of Rule 10b-5 to transactions outside the United States.  Depending on time and the interest of the class, we also will cover one or two of the following topics: Foreign Corrupt Practices Act, The structure and regulation of the secondary securities markets, including the obligation to transact at the best prices and regulation of high frequency trading and dark pools, The details of a recent and highly publicized enforcement case or class action, Proxy regulation, Tender offer regulation.  The course will draw from events now occurring in the marketplace and will use recent transaction documents, disclosure documents, SEC policy statements, and court filings or decisions. It will broaden and deepen a student’s understanding of the federal securities laws and will help prepare students to contribute to projects they are likely to confront at a business law firm or a government regulatory agency.

Course Requirements

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

Final Type (if any):

Written Work Product
Written Work Product:

Other Work

Other Course Details
Prerequisites: Securities Regulation or Securities Regulation (Law & Business), recommended but not required Concurrencies: None
Mutually Exclusive With:
Laptops Allowed: Yes
First Day Attendance Required: No
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.

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: