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Professional/Experiential Skills Courses First Year Courses Only

Securities Regulation (LAW-612-001)
Quinn

Notices

Description

This course covers basic principles of federal securities regulation. The questions we will look at 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 (with a focus on initial public offerings); 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 Rule 10b-5 prohibit (with a focus on insider trading); how do the securities laws apply to investment advisers and investment companies.

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.

Hazen & Ratner, Securities Regulation: Cases & Materials, (6th ed. 2003)("CB")
Hazen & Ratner, Securities Regulation: 2005-2006 Supplement ("Supp")
Hazen, Securities Regulation: Selected Statutes, Rules, and Forms*

* Any other current source of statues, rules, and forms is an acceptable substitute.

First Class Readings

CB 1-17

Syllabus

Use your MyAU username and password to access the syllabus in the following format(s):

• Microsoft Word (DOC)
• Corel Wordperfect (WPD)
• Adobe Acrobat (PDF)