384 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.

Course Areas of Practice
Evaluation Methods
  • Final Exam
Degree Requirements
Course Requirements - JD-LLM-LE
Course Requirements - LLMLE
Course Type
  • Lecture
Learning Outcomes
  • Knowledge and understanding of substantive and procedural law

Sample Syllabi

Spring 2021

2021
Course Number Course Credits Evaluation Method Instructor Meeting Days/Times Room

384.01 4
  • Final Exam
James D. Cox MWTh 9:00 AM-10:15 AM

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.

Pre/Co-requisites
None
Enrollment Restrictions
None

Spring 2020

2020
Course Number Course Credits Evaluation Method Instructor Meeting Days/Times Room

384.01 4
  • Final Exam
James D. Cox MWTh 9:00AM - 10:15AM 3041

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.

Syllabus: 384.01.Spring2020-syllabus.pdf144.36 KB

Pre/Co-requisites
None
Enrollment Restrictions
None

Spring 2019

2019
Course Number Course Credits Evaluation Method Instructor Meeting Days/Times Room

384.01 4
  • Final Exam
James D. Cox MWTh 9:00-10:15 AM 3041

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.

Pre/Co-requisites
None
Enrollment Restrictions
None

Spring 2018

2018
Course Number Course Credits Evaluation Method Instructor Meeting Days/Times Room

384.01 4
  • Final Exam
James D. Cox MWTh 9:00-10:15 AM 3041

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.

Pre/Co-requisites
None
Enrollment Restrictions
None

Spring 2017

2017
Course Number Course Credits Evaluation Method Instructor Meeting Days/Times Room

384.01 4
  • Scheduled in-class examination
James D. Cox M-Th 7:55-8:50 AM 3041

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.

Pre/Co-requisites
None
Enrollment Restrictions
None

Spring 2016

2016
Course Number Course Credits Evaluation Method Instructor Meeting Days/Times Room

384.01 4 James D. Cox M-Th 9:55-10:50 AM 3041

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.

Pre/Co-requisites
None
Enrollment Restrictions
None

*Please note that this information is for planning purposes only, and should not be relied upon for the schedule for a given semester. Faculty leaves and sabbaticals, as well as other curriculum considerations, will sometimes affect when a course may be offered.