Securities Regulation (LAW-612-001)
Michael Grimes, William Ney
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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
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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)).
Interim Report of the Committee on Capital Markets Regulation (Supplement pp. 1-12).>/p>
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