Securities Regulation (LAW-612-001)
Michael Grimes, William Ney
Meets: 06:00 PM - 08:50 PM (W)
Enrolled: 27 / Limit: 40
Notices
There are no notices at this time.
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 I. Steinberg, Securities Regulation, 8th Edition. All reading is in Steinberg unless otherwise noted;
Grimes/Ney Supplement (“Supp.”) posted on MyWCL;
Any current book or website with the Securities Act of 1933 and the Securities Exchange Act of 1934. Westlaw and Lexis Advance can be used. We will be using Federal Securities Laws, Selected Statutes, Rules and Forms, 2021-2022 Edition (J. Coffee, H. Sale, C. Whitehead, Foundation Press) (“Statutory Supp.”).
First Class Readings
- §1.01: Overview (pp. 3-5 (up to “Turning to state…”)).
- §1.02: A Look at the SEC (pp. 6-7 (bottom); pp.12 (“The laws that govern…”)-15).
- §1.03: Reminiscing the SEC Years (pp. 15-21 (up to §1.04)).
- §5.03A: The Mandatory Disclosure Debate (pp. 262-264 (bottom)).
Recommended Reading
Interim Report of the Committee on Capital Markets Regulation (Supplement pp. 1-12).>/p>
Syllabus
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Microsoft Word (DOC)