General Course Descriptions for Terms: Securities Regulation
914 - Securities Regulation
This course analyzes the regulations governing the capital formation process in the United States. The course explains the process by which companies register securities with the SEC in order to go public, and the reporting obligations that arise once companies are publicly traded. The course also analyzes the process by which companies raise capital through private placements (the dominant capital formation process in Silicon Valley), restrictions on the resale of privately placed securities, recent legislation allowing "crowdfunding" of certain enterprises, and the securities law liabilities that arise in these transactions. About a third of the course consists of problem sets based on a series of “motivating hypotheticals.” Students will therefore gain hands-on experience in analyzing problems and advising clients in a complex regulatory area.