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Spring 2022 Course

Securities Regulation

Prerequisite: None

Exam Type: In Class

In addition to an in-class examination, students will be asked to participate in blog postings on a range of topics of current interest at the Securities and Exchange Commission.

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 and to disclosure and other requirements imposed on public companies under the Securities Exchange Act of 1934. We will then turn to SEC supervision of securities firms and oversight of capital markets. 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.