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Securities Regulation
Course Materials
Administrative
Before we get started. . .
Syllabus
Review Problems
Review Problems
w/ Answers
@SEC_News
Choi & Pritchard
2016 Supplement to 4th edition
Background: Finance, Accounting and Economics
An introduction to some basic concepts regarding capital assets and capital markets
Day #1
Day #2
What is a Security?
If federal securities laws apply only to a "security," what is a "security?"
Day #3
In re DAO
Day #4
Coin-Operated Capitalism
Day #5
The Registration Process
With certain exceptions, "securities" must be registered before an issuer can offer to sell them.
Day #6
Day #7
Day #8
Exemptions to Registration & Resales
Securities in certain types of offerings may be offered or sold without registration.
Day #9
Day #10
Materiality
When is a false statement or omission material?
Day #10
Private Securities Fraud Litigation
Elements and pleading burdens of Section 11, Section 12 and Rule 10b-5 claims in private class-action lawsuits
Day #5
Day #10
Day #11
Day #12
Insider Trading
Trading on nonpublic information may violate Rule 10b-5.
Day #14
Day #13
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