Course Information

Course Number

384

Credits

4

Area of Study & Practice

  • Business Organization and Finance
  • Financial Institutions
  • Gov't Regulation & Administrative Practice

JD Graduation Requirements

This course typically satisfies all or some of the following JD graduation requirements:
  • Professional Skills

Securities Regulation


A study of the federal and state securities laws and the industry they govern with emphasis on the regulation of the distribution process and trading in securities; subjects dealt with include the functions of the Securities and Exchange Commission, registration and disclosure requirements and related civil liabilities, "blue-sky" laws, proxy solicitation and reporting requirements, broker-dealer regulation, the self-regulatory functions of the exchanges, and the regulation of investment companies.


Please note that course organization and content may vary substantially from semester to semester and descriptions are not necessarily professor specific. Please contact the instructor directly if you have particular course-related questions.

Sections/Instructors

James D. Cox
Securities Regulation 384.01
Spring 2014
E-mail ListSakai Site

James D. Cox
Securities Regulation 384.01
Spring 2013
Sakai Site

James D. Cox
Securities Regulation 384.01
Spring 2012
E-mail ListSakai Site

James D. Cox
Securities Regulation 384.01
Spring 2011
E-mail ListBlackboard Site

James D. Cox
Securities Regulation 384.01
Spring 2010
E-mail ListBlackboard Site

James D. Cox
Securities Regulation 384.01
Spring 2009
E-mail ListBlackboard Site

James D. Cox
Securities Regulation 384.01
Spring 2008
E-mail ListBlackboard Site
Download: Course Information

Securities Regulation 384.401
Spring 2006

James D. Cox
Securities Regulation 384.01
Spring 2005

James D. Cox
Securities Regulation 384.01
Spring 2004

James D. Cox
Securities Regulation 384.01
Spring 2003