Securities Regulation (Law & Business)

Section 1ZO, Fall 20

Schedule Information

Enrollment: 45/70
Credits: 4

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. This Law and Business version of the class will offer extended coverage of securities law topics, as well as more in depth treatment of financial and business details.

Course Requirements

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

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

Flex exam at end of the semester.

Written Work Product
Written Work Product:

Other Work

Other Course Details
Prerequisites: (Corporations (6103) OR Corporations (Law & Business) (6109)) Students in this course are expected to have knowledge and familiarity with basic accounting and corporate finance. Satisfactory completion of Law 6100 and Law 6101 would meet this expectation. If a student has knowledge/familiarity of accounting and corporate finance from other college-level coursework or work experience, but is unsure whether their exposure meets the instructor’s expectations, such students are encouraged to discuss it with the instructor. Concurrencies: A student may request a waiver of the Corporations prerequisite from the instructor if enrolled in LAW 6103 or 6109 concurrently with this course. The waiver must be provided to SRO (a forwarded email from the instructor is acceptable).
Mutually Exclusive With: Securities Regulation (8016)
Laptops Allowed: Yes
First Day Attendance Required: No
Course Notes: This class will meet entirely online. Class will take place synchronously via Zoom. Any additional remote learning details from the instructor will be posted to the course's Canvas page at a later date. This course is part of the Law School's Law and 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: