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Spring 2024 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 to the Securities and Exchange Commission and practitioners.

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 the legal requirements, including disclosure obligations, imposed on public companies under the Securities Exchange Act of 1934. We will then turn to SEC supervision of securities firms and investment funds, as well as its 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. To the extent possible, class visits from senior SEC officials and senior practitioners will be incorporated into the course syllabus.