914 Securities Regulation - §001, Fall 2015

Categories: Business, Corporate, Commercial Law Administrative and Regulatory Law

Instructor(s) Davis, Kenneth

This course deals with the body of federal statutes and regulations designed to protect investors in buying and selling securities.


Securities Regulation introduces students to the processes by which businesses obtain investment capital and the legal rules that govern them. The transactions we cover range from initial public offerings (IPOs) to new issues of stock by Fortune 100 companies to start-ups raising money from venture capitalists or from friends and family.

Students will gain a detailed familiarity with the federal Securities Act of 1933 and the rules adopted under it. Because the Act is substantially the same today as when first enacted, the applicable law has been kept up to date principally by means of the rules and administrative practices of the Securities & Exchange Commission. For that reason, the course offers students an opportunity to gain insight into the workings of administrative law in practice.

About half the course consists of problem sets based on a series of “motivating hypotheticals.” Students will therefore gain hands-on experience in analyzing problems and advising clients in a complex regulatory area.

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