Course Description

LAW 236 - Securities Regulation

This course offers an introduction to the federal securities laws, covering the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as the regulations enacted by the Securities and Exchange Commission (SEC) thereunder. Topics to be covered include the policy rationales underlying the U.S. securities regime, the definition of security, the registration requirement for public offerings, gun-jumping rules governing initial public offerings, rules governing seasoned issuers, exemptions from the registration requirement, secondary offerings, periodic disclosure obligations for public corporations, antifraud liability, and broker-dealer regulation. 

Course Information:

Faculty Term Course Section Schedule Units Requisite Satisfies SAW
James Park 18S 236 LEC 1 TR 3:20 PM - 5:20 PM 4.0 Yes No
Pre-requisite: Law. 230. Business Associations

Previous Course Offerings:

Faculty Term Course Section Schedule Units Requisite Satisfies SAW
Sung Hui Kim 15F 236 LEC 1 TR 1:00 PM - 3:00 PM 4.0 Yes No
Pre- or co-requisite: Law 230. Business Associations
James Park 17S 236 LEC 1 TR 10:35 AM - 12:35 PM 4.0 Yes No
Pre-requisite: Law. 230. Business Associations
Categories
Administrative Law & Government Regulation - Financial Regulation; Business Law;