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Securities Regulation



2017 Spring

About This Class

This course introduces students to the federal laws and regulations designed to protect investors in the U.S. We identify the registration and disclosure requirements for securities offerings as well as the ongoing disclosure and other requirements associated with secondary market distribution. We explore the context and content of the first federal securities law of the 1930s through the most recent law affecting the financial markets, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. We cover the potential liability of various players involved in the offering and sale of securities, including issuers, officers, directors, brokers, dealers, attorneys, auditors and other participants. We consider issues regarding "insider" trading. Brief study is also made of the role of crowd funding after the JOBS Act.
Method of evaluation:  Take home exam or Paper (AWR yes for paper)

Class Code



Business Law