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 Frequency*
Course Areas of Practice

Sections

Spring 2017
2017
Course Number Course Credits Evaluation Method Instructor Meeting Day/Times Room

384.01 4
  • Scheduled in-class examination
James D. Cox M-Th 8:00-8:55 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
2016
Spring 2016
Course Number Course Credits Evaluation Method Instructor Meeting Day/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.

Syllabus: File 384.01.Spring2016-syllabus.docx

Pre/Co-requisites
None
Enrollment Restrictions
None
2015
Spring 2015
Course Number Course Credits Evaluation Method Instructor Meeting Day/Times Room

384.01 4 James D. Cox MTh 9:30-10:25 am Room 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
2014
Spring 2014
Course Number Course Credits Evaluation Method Instructor Meeting Day/Times Room

384.01 4 James D. Cox M-Th 8:30-9:25 am M-Th 8:30-9:25 am Room 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
2013
Spring 2013
Course Number Course Credits Evaluation Method Instructor Meeting Day/Times Room

384.01 4 James D. Cox M, Tu, W, Th 9:45-10:40 am Room 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
2012
Spring 2012
Course Number Course Credits Evaluation Method Instructor Meeting Day/Times Room

384.01 4 James D. Cox M-Th 10:40-11:35 am M-Th 10:40-11:35 am Room 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.