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Fall 2013 - Securities Regulation

Spindler, James C

Course ID: 484N  Unique # 29510  Credit Hours: 4
Meeting DaysTimesLocation
   Tuesday 3:45 pm - 5:35 pm TNH 2.138
   Wednesday 3:45 pm - 5:35 pm TNH 2.138
Exam Type   Date   Time      Name Range   Room  
  Final Wednesday, December 18    1:30 pm          A-Z
Registration Information
This course is restricted to upper division students only.

Virtually any raising of capital implicates the securities laws.  The goal of this course, then, is for students to learn the mechanics of public and private offerings of securities, and to understand the reporting and disclosure requirements that issuing securities entails.  This course is particularly important for students who expect to work either in business litigation or transactional law.

Topics include public offerings, exempt (i.e., private) offerings, public company regulation and exemption, and, to the extent time permits, secondary market issues such as securities fraud, insider trading, and the regulation of financial intermediaries (such as broker-dealers and investment advisers). 

Please be aware that this course makes use of economics and math (this is not an arbitrary imposition:  courts deciding securities cases make use of economics and math, such as net present valuation and the Efficient Capital Markets Hypothesis).  No prior background, beyond a reasonable high school education, in these areas is required -- concepts will be introduced as needed -- although a willingness to engage economics and math is absolutely necessary.

Related Course Areas
Securities Regulation - Soderquist and Gabaldon
  Foundation Press, edition: 7
  ISBN: 9781599417448   (required)
Federal Securities Laws: Selected Statutes, Rules and Forms - Coffee and Sale
  Foundation Press, edition: 2013
  ISBN: 9781609301316   (required)
The Law of Securities Regulation - Hazen
  West Law School
  ISBN: 9780314187970   (optional)