Spring 2013 Course Schedule

Securities Regulation (LAW-612-001)

Meets: 10:30 AM - 11:50 AM (TTH) - Room 524

Enrolled: 38 / Limit: 60

Administrator Access


There are no notices at this time.


This course covers basic principles of federal securities regulation raised by the Securities Act of 1933 and the Securities Exchange Act of 1934. This is the basic securities course and serves as a pre-requisite for more advanced securities courses and seminars. The issues we will address include (but are not limited to): what types of financial instruments are securities subject to federal regulation; what is “material” information; how does the Securities Act regulate the sale of securities to the public; how can a sale of securities be structured to be exempt from Securities Act registration requirements; what civil liabilities does the Securities Act impose on participants in a public offering and on other sellers of securities; what conduct does the antifraud provision of the Securities Exchange Act, Rule 10b-5, prohibit; and how the proxy provisions, tender offer provisions and inside trading provisions of the Securities Exchange Act operate.

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.

First Class Readings

Not available at this time.