Spring 2019 Course Schedule

Securities Regulation (LAW-612-001)
Hilary Allen

Meets: 02:30 PM - 03:50 PM (MW) - Yuma - Room Y400

Enrolled: 20 / Limit: 65

Administrator Access


There are no notices at this time.


This course provides an introduction to the federal securities laws, with particular attention focused on the registration, disclosure and liability provisions of the Securities Act of 1933 and the anti-fraud and the private securities litigation provisions of the Securities Exchange Act of 1934. The role of the Securities and Exchange Commission in administering and enforcing the federal securities laws is emphasized in the course. The course also provides an introduction to securities markets and the different roles and business motivations of issuers, investors and securities market participants. This course will also consider recent reform of securities regulation pursuant to the Dodd-Frank and JOBS Acts. Prerequisite: Business Associations (LAW-611).

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.

The required text for the course is Cox, Hillman and Langevoort, Securities Regulation (8th ed.).

First Class Readings

Not available at this time.