Introduction to Securities Regulation

Introduction to Securities Regulation

Professor Howell Jackson
Spring 2016 course
M, T 10:20am - 11:50am in Austin Hall Room 111 - West
3 classroom credits

Prerequisites: While there are no formal prequisites for this course, most students will find it helpful to have taken (or to be taking concurrently) a course on corporations or else to have some other previous exposure to financial or business matters.

Exam Type: In-class exam.

This course is designed to offer an overview of the regulation of securities and securities markets in the United States.  The curriculum will be organized around the work of the Securities and Exchange Commission, including its oversight of the public offering of securities under the Securities Act of 1933 and its supervision of capital market operations under the Securities Exchange Act of 1934.  Attention will also be given to the Commission's enforcement activities and the relationship between those activities and private securities litigation.  As time permits, we will touch upon issues of cross-border corordination in the public oversight of both capital raising and enforcement activities. 

Note: The class will not meet on Tuesday, February 9th; instead, it will be held on Wednesday, February 10th, during the regular time period.

Subject Areas: Business Organization, Commercial Law, and Finance, Regulatory Law