Course Catalog

3 Unit(s)

This course will provide an overview of United States federal securities laws as they relate to the issuance and trading of securities in US capital markets. In particular, we will review the broad arc of the securities laws as they have evolved from Great Depression/New Deal roots through the Boesky/Milken/greenmail scandals of the 1980's, the Enron/WorldCom crises of the 1990s and the Global Financial Crisis of 2008. Students that prepare, attend and participate will learn how and why the securities laws (1) dictate the structure of many capital raising transactions (such as private venture capital financings and initial public offerings) and M&A events, (2) regulate trading in public markets such as the NYSE and Nasdaq, and (3) influence modern corporate governance, control and strategic planning. Pre- or Co-requisite: Business Associations.