Securities Regulation (LAW-612-001)
Siegel, Trotter
Meets: 10:30 AM - 11:50 AM (TTH) - Room 524
Enrolled: 59 / Limit: 60
Notices
Prereq: Business Associations (LAW-611)
Description
The role of the federal securities law in relation to corporate issues; problems of financing; proxy solicitations; dealings in corporate stock; and reorganization and disclosure.
Textbooks and Other Materials
The textbook information on this page was provided by the instructor. Students should use this information when considering purchases from the AU Campus Store or other vendors. Students may check to determine if books are currently available for purchase online.
Marc L. Steinberg, Securities Regulation, Fifth Edition. All reading is in Steinberg unless otherwise noted.
Supplement (“Supp.”) to be handed out.
Any current book with the Securities Act of 1933 and the Securities Exchange Act of 1934. I will be using Corporations and Business Associations - Statutes, Rules and Forms (M. Eisenberg, ed., Foundation Press, 2008) (“Statutory Supp.”), and your exam will have the statutes copied from this book.
You are required to read the applicable statutory sections of the Securities Act of 1933 and/or the Securities Exchange Act of 1934 and their rules (Statutory Supp.) in connection with each assignment.
First Class Readings
For the first class meeting, please read:
I. Introduction to Securities Regulation
1. §1.01: Overview (pp. 1-2 (mid-page)).
2. §1.02: Reminiscing the SEC Years (pp. 7-12 (up to §1.03)).
3. §1.04: The Structure of the Securities Markets (pp. 13-15 (up to §1.05)).
4. §5.03A: The Mandatory Disclosure System (pp. 220-226 (up to Note)).
5. Committee on Capital Markets Regulation (Supp. pp. 1-13) (NOTE: These pages are available for download from Blackboard).
Syllabus
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Adobe Acrobat (PDF)