LAW Securities Regulation: Mandatory Disclosure, Capital Formation, and the IPO Process
Business Law: General

All Directions
Business Law
General

Business Law: Antitrust & Trade Regulation
[ T ] [ A ] [ R ] [ L ]

Business Law: Commercial Transactions & Licensing
[ T ] [ L ] [ A ] [ R ]

Business Law: Finance: Banking & Bankruptcy
[ T ] [ L ] [ A ] [ R ]

Business Law: Finance: Capital Markets, Financial Reporting, Corporate Governance
[ A ] [ R ] [ T ] [ L ]

Business Law: Media, Entertainment, Sports
[ T ] [ A ] [ L ] [ R ]

Business Law: Venture/Entrepreneurship
[ A ] [ T ] [ L ] [ R ]

Health Law: Life Science Research Institutions & Companies
[ T ]

Law School CoursesRelated Law Courses by TopicCourses Outside SLS by TopicClinic(s)ResourcesYour Network
327 items in this track |
Item is good for 85 routes, rollover orange dots above to see which ones! LAW 591 Securities Regulation: Mandatory Disclosure, Capital Formation, and the IPO Process Law School Recommended for route(s): [ Transactional ] [ Litigation ] [ Academia ] [ Regulatory & Policy ] Business Law: General Why it is relevant for ... [ Transactional ] as a Foundational Course : A course on federal securities regulation is essential for lawyers who represent both private and public companies and/or the individuals who invest in such companies. The course covers a broad range of material, including the U.S. mandatory disclosure system for publicly held securities, the “going public” process and continuing periodic disclosure obligations. This course is a building block for more advanced business law courses. Students are encouraged to take one or more courses covering the scope of federal securities laws. [ Litigation ] as a Foundational Course : A course on federal securities regulation is essential for lawyers who defend or litigate against public companies. The course covers a broad range of material, including the U.S. mandatory disclosure system for publicly held securities, the “going public” process and continuing periodic disclosure obligations. This course is a building block for more advanced business law courses. [ Academia ] [ Regulatory & Policy ] as a Foundational Course : A course on federal securities regulation is essential for lawyers who represent both private and public companies and/or the individuals who invest in such companies. The course covers a broad range of material, including the U.S. mandatory disclosure system for publicly held securities, the “going public” process and continuing periodic disclosure obligations. This course is a building block for more advanced business law courses. Students are encouraged to take one or more courses covering the scope of federal securities laws. General course Description: Capital Formation and 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, and the securities law liabilities that arise in these transactions. The course also addresses the processes by which foreign issuers commonly raise many billions of dollars in the US markets without registering their offerings with the SEC, Chinese reverse mergers which have led to a spate of litigation, and recent legislation allowing "crowdfunding" of certain enterprises. Much of the course will operate through the analysis of case studies, in particular, a close analysis of the Facebook and Google IPOs, and private placement and secondary market transaction histories preceding those public offerings. Time permitting, we will also analyze the Foreign Corrupt Practices Act (which, among other matters, requires that publicly traded firms properly account for and disclose bribes paid to foreign government officials), and disclosures related to the use of conflict minerals and to contracts with foreign governments in the extractive industries, i.e., oil and gas drilling. Course Style: A Substantive/Statutory course deals with law, theory, and policy in the context of a particular code or statutory scheme. Course Frequency: Offered once a year |