255.5S sec. 001 - Securities Regulation (Summer 2025)
Instructor: Stavros Gadinis (view instructor's teaching evaluations - degree students only | profile)
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Units: 3
Grading Designation: Graded
Mode of Instruction: In-Person
Meeting:
MTuWThF 09:00 AM - 12:10 PM
Location: Law 130
From July 28, 2025
To August 12, 2025
Class Number: Click to show Class Number
Enrollment info:
Enrolled: 0
Waitlisted: 0
Enroll Limit: 1
As of: 11/25 05:14 AM
The course explores the elaborate disclosure obligations that the U.S. imposes on the distribution and trading of investment securities as well as the role of the Securities and Exchange Commission and private plaintiffs in shaping and enforcing these disclosure obligations. We review U.S. laws regulating securities offerings and trading. Topics to be covered include: public offerings of securities and the registration process under the Securities Act of 1933, exemptions from these registration requirements and the role of exemptions in the financing of private and public firms, and the disclosure obligations of publicly-traded issuers. The course will also examine the role of anti-fraud rules in the issuance and trading of securities as well as liability for insider trading.
Professor Gadinis’ research examines questions in corporate law and financial regulation, both domestic and international. He is particularly interested in the interplay between companies and regulators, exploring the institutional framework for law enforcement, compliance, and risk management. In the last few years, he has focused on sustainability and social issues as an attempt to expand the scope of corporate governance. In Corporate Law and Social Risk (co-authored with Amelia Miazad)(2020 Vanderbilt Law Review), the focus is on stakeholder outreach as a governance system seeking to identify and address social risks for the business. In a follow-up article, A Test of Stakeholder Capitalism (co-authored with Amelia Miazad) they explore how corporations relied on feedback from stakeholders to address the implications of the Covid pandemic. His article The Hidden Power of Compliance (co-authored with Amelia Miazad)(2019 Minnesota Law Review) explores how extensive internal reporting within companies impacts the liability of board members. In Collaborative Gatekeepers (co-authored with Colby Mangels)(2016 Washington & Lee Law Review) he explores anti-money laundering law as a model of pro-active misconduct reporting. Gadinis’ work has also traced the spread of financial standards around the world, showing how private, regulator, or government supports leads to distinct results (Three Pathways to Global Standards, 2015 American Journal of International Law). Gadinis has argued that systemic risk reforms introduced after the 2008 financial crisis has resulted in increasing the role of political appointees over independent regulators in the oversight of the financial system (2012 California Law Review).
Before entering academia, Gadinis practiced corporate law for four years in Europe. Gadinis completed his S.J.D. at Harvard in May 2010. He also holds an LL.M. degree from the University of Cambridge (UK), and a law degree from Aristotle University, Greece.
Exam Notes: (TH) Take-home examination
(Subject to change by faculty member only through the first two weeks of instruction)
Course Category: Business Law
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Readers:
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Books:
Required Books are in blue
- Securities Regulation: Cases and Materials
James D. Cox, Robert W. Hillman, Donald C. Langevoort, Ann M. Lipton
Edition: 10th
Publisher: Wolters Kluwer
ISBN: 9781543838473
e-Book Available: unknown
Price: $335.00
Note: prices are sampled from internet bookstores. Law-school Bookstore prices are unavailable at this time.