Advanced Topics in Securities Regulation

Section 1, Spring 19

Schedule Information

Enrollment: 23/30
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 director resignation; Structure and disclosure of a complex securities transaction; Fundamentals of broker-dealer and exchange regulation; Proxy regulation. Depending on time and the interest of the class, we also will cover one or two of the following topics: Foreign Corrupt Practices Act; tender offer regulation; an overview of the Dodd-Frank Act. 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): None
Description: None

Final Type (if any): Due Date Only

Written Work Product
Written Work Product: Students will be required to submit two short papers of approximately 1250 to 1500 words (5 pages double-spaced) each (submitted directly to professor, not via EXPO), and a final paper of approximately 4500 words (15 pages double-spaced). The final paper will be due via EXPO by noon on the last day of the examination period. Students who wish to augment the final paper to satisfy the Upper-Level Writing Requirement must submit a timely (and signed) Writing Requirement Intent Form to the Student Records Office - retroactive exceptions will not be granted.

Other Work

Other Course Details
Prerequisites: Corporations and Securities Regulation or Securities Regulation (Law & Business) recommended but not required Concurrencies: None
Mutually Exclusive With: Securities Litigation and Enforcement (talk with professor)
Laptops Allowed: Yes
First Day Attendance Required: No
Course Notes: Class participation will be taken into account.

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
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Evaluation Portal Via LawWeb Closes: