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Spring 2021 Course

Securities Regulation

Prerequisite: None

Exam Type: Please refer to the Spring 2021 Exam Schedule

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. 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.