Law 634: Securities Regulation
This course covers regulation of securities under the Securities Act of 1933 and the Securities Exchange Act of 1934. These doctrinal issues will be framed by discussions of emerging policy issues, such as the rise of private equity firms, the related decline in the number of public companies in the U.S., the SEC’s focus in 2021 on climate and ESG (environmental, social, and governance) disclosure, and institutional investors’ increasing concentrated ownership of public companies and the debates this is causing.
Some additional topics, such as SEC enforcement activity, are also covered in this course as time permits.
Sequence and Prerequisites: Business Associations (Law 633) is a prerequisite.
Evaluation: Final administered exam.