Fall 2014 Course Schedule

Securities Regultn (LAW-612-001)

Meets: 06:30 PM - 09:10 PM (Th) - Room 602

Enrolled: 29 / Limit: 45

Administrator Access


There are no notices at this time.


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.

Securities Regulation: Selected Statutes, Rules and Forms by Hazen - ISBN #9780314282279 - Edition: 2014 ** Any other current source for statues, rules, and forms is an acceptable substitute.

First Class Readings

“The laws that govern the Securities Industry”; “Brief Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act”


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