Securities Regulation

LAW 2224 Subject & Catalog Number

Description

Professional Writing: Successful completion of appropriate written work in this offering satisfies the professional writing requirement for matriculants to the J.D. program

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. In the Spring of 2027, we will likely emphasize differences how the SEC under the Leadership of Chairman Atkins has adopted a new approach to many aspects of the Commission’s work, including the adaptation of the SEC’s regulatory structure to accommodate digital assets.

Note: There will be two class sessions held before spring break on Fridays from 1:30-3:30pm, on the following dates: February 12th and March 5th.