255.5 sec. 001 - Securities Regulation (Fall 2025)
Instructor: Reza Dibadj (view instructor's teaching evaluations - degree students only | profile)
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Units: 4
Grading Designation: Graded
Mode of Instruction: In-Person
Meeting:
MTuW 10:00 AM - 11:10 AM
Location: Booth Auditorium
From August 18, 2025
To December 01, 2025
Course End: December 01, 2025
Class Number: 32339
Enrollment info:
Enrolled: 0
Waitlisted: 0
Enroll Limit: 100
As of: 04/09 07:13 AM
The course is an introduction to the Securities Act of 1933 and the Securities and Exchange Act of 1934 and consists of three main parts. Part One is an introduction to securities regulation, financial innovation, and mandatory disclosure. Part Two discusses mandatory disclosure in greater depth, beginning with public offerings—including the traditional registration process, gun jumping, alternative registration procedures, and liability rules. Next, the boundaries of the 1933 Act are explored, with a focus on exempt securities, exempt transactions, and secondary distributions. Financial reporting is also discussed. Finally, Part Three explores securities litigation.
Exam Notes: (TH) Take-home Final Exam
(Subject to change by faculty member only through the first two weeks of instruction)
Exam Length: 3 hours
Course Category: Business Law
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Readers:
No reader.
Books:
Required Books are in blue
- Securities Regulation: Cases and Materials [Connected eBook]
James D. Cox, Robert W. Hillman, Donald C. Langevoort, Ann M. Lipton
Publisher: Wolters Kluwer
ISBN: 9781543838473
e-Book Available: unknown
Price: To Be Determined