The University of Texas at Austin   School of Law

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UT Law School Classes - Spring 2009

Securities Regulation

Instructor: Hu, H Credits: 3 Course ID: 384N Unique #28470
     Day    Time   Location
   Monday 8:20 am - 9:20 am TNH 3.142
   Tuesday 8:20 am - 9:20 am TNH 3.142
   Wednesday 8:20 am - 9:20 am TNH 3.142
Exam Type    Test Date Time      Name Range Regular Room Extegrity Room
  Final Tuesday, May 12 1:30 pm -   A-Z
  2.140
  2.140
Registration Information
This course is restricted to upper division students only.

Description
Securities law is increasingly important, not only for transactional lawyers and litigators in private practice, but also for those in government service who directly shape the modern regulatory state.  This is not surprising, given that federal securities law is displacing state corporate law as the primary legal influence on how corporations function and is also the focal point for the governance of financial markets and institutions.  The two key statutes, the Securities Act of 1933 and the Securities and Exchange Act of 1934, come up in a wide range of contexts.  This course looks at, among other things, the elaborate disclosure obligations associated with the distribution of investment securities arising from such statutes and rules adopted by the Securities and Exchange Commission.  Topics will include the preparation of disclosure documents, exemptions from disclosure requirements, and the relationship between disclosure obligations and anti-fraud rules.  This course will also consider such other matters as how market forces influence corporate governance and the evolution of swaps and other new financial products.  No prior business or financial background is required.

Prerequisite:  Business Associations, Business Associations (Enriched), or Corporations.  This course is closed to students who have taken or are taking the Securities Regulation Workshop.

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