Course Description

LAW 236 - Securities Regulation

This course offers a challenging introduction to the federal securities laws, covering the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as the detailed, complex regulations enacted by the Securities and Exchange Commission (SEC) thereunder.  Topics to be covered include the policy rationales underlying the U.S. securities regime, economic theory and analysis, the concept of materiality, the definition of security, disclosure obligations, antifraud liability under Rule 10b-5 of the ’34 Act and Section 11 of the ’33 Act, the calculation of damages under the various anti-fraud statutes, insider trading prohibitions, Section 16 of the ’34 Act, Regulation FD, and the duties of participants in public offerings under the elaborate gun-jumping regulations of Section 5 of the ’33 Act. This course is designed for students specifically interested in securities litigation or securities transactional practice and not merely for the general corporate or business litigation practitioner.

Course Information:

Faculty Term Course Section Schedule Units Requisite Satisfies SAW
James Park 17S 236 LEC 1 TR 10:35 AM - 12:35 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 15S 236 LEC 1 MW 3:20 PM - 5:20 PM 4.0 Yes No
Pre- or corequisite: Law 230 Business Assocations
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
Administrative Law & Government Regulation - Financial Regulation; Business Law;