Securities Regulation

Section 1, Fall 17

Schedule Information

Enrollment: 66/68
Credits: 3

Course Description

The course will examine the federal statutes and regulations relating to securities transactions and the duties of issuers, underwriters, officers, directors, controlling persons, and other significant market participants. We will discuss the regulation of public and private offerings, secondary trading markets, and disclosure by publicly traded companies. We also will learn about the main liability provisions, including Rule 10b-5 and claims for insider trading. The course will help prepare students to work on public and private securities transactions or to be an effective member of a litigation team representing a party in securities litigation. Both of these are substantial practice areas in law firms. The course also will provide a better understanding of the goals of business enterprises and the financial and regulatory constraints that affect business decisions.

Course Requirements

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

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

Flex exam at end of semester.

Written Work Product
Written Work Product:

Other Work

Other Course Details
Prerequisites: Corporations or Corporations (Law & Business) is recommended, but not required Concurrencies: None
Mutually Exclusive With: Securities Regulation (Law & Business)
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: