Securities Regulation

Course Description

This course surveys federal regulation of securities and, to a lesser extent, state securities regulation or “blue sky” law. The principal focus will be upon the federal Securities Act of 1933 and the Securities Exchange Act of 1934. Coverage will include the definition of security; registration of public offerings; exemptions from registration; federal preemption; solicitation of proxies; insider trading; remedies and liabilities; and tender offer regulation. Considerable attention will be devoted to securities law research as well as the fundamentals of securities law. P: Business Associations.

Current and Previous Instructors

Key to Codes in Course Descriptions

P: Prerequisite
C: Prerequisite or Concurrent Requirement
R: Recommended Prior or Concurrent Course

Currently Scheduled Sections

CRN: 99090

  • Fall '23
  • 2
  • 473
  • Tues: 3:15-5:15


  • Darrell Braman

  • 4 openings. (Limit 20).
  • 551c

  • Securities Regulation, Cases and Analysis 5th Edition

    ISBN: 9781640209718 Print edition (preferred) or online subscription