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620 - Securities Regulation (3 hours)
This course is your ticket into the world of securities regulation. You will learn the “ins and outs” of federal regulation of securities offerings (IPOs, private placements and crowdfunding) under the Securities Act of 1933, as well as become familiar with the basics of federal regulation of securities markets and trading under the Securities Exchange Act of 1934. This is an online, problem-based course. For each topic, after an introductory lecture of the material – in which you can participate synchronously on WebEx or choose to view asynchronously afterward -- you will work in groups on multiple-choice hypos and short-essay problems based on the day’s topic. Besides this group work, you will also individually engage in out-of-class “scavenger hunts” that ask you to review and understand various actual securities documents. Given the nature of this problem-based approach and the number of topics we will cover, the course will be front-end loaded, with lectures and group work ending in late March. The final exam, consisting of multiple-choice questions and short-essays, will happen during the regular Spring exam period. Pre-requisite: Business Organizations