Securities Regulation

Securities Regulation

Professor Howell Jackson
Fall 2018 course
Th, F 10:00am - 11:30am in WCC Room 1015
3 classroom credits

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

Exam Type: In Class

This course is designed to offer an overview of the work of the Securities and Exchange Commission, the structure of U.S. capital markets, and key policy challenges facing the Commission today.  The course will begin with an introduction to the regulation of securities offerings under the Securities Act of 1933. We will then turn to the disclosure obligations of public firms, SEC oversight of capital markets, and the supervision of investment management.  Attention will also be given to the Commission's enforcement practices and current debates regarding the efficacy and legality of those practices.  As time permits, we will touch upon issues of cross-border coordination in the public oversight of both capital raising and enforcement activities.

The course will meet for twenty-four ninety minutes sessions. Course materials to be announced.

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