printer friendly pageLAW 1027: Securities Regulation
This course provides an overview of the regulation of securities offerings and trading under the Securities Act of 1933 and the Securities Exchange Act of 1934. The course explores the elaborate disclosure obligations that this country imposes on the distribution and trading of investment securities as well as the role of the Securities Exchange Commission and private plaintiffs in shaping and enforcing these disclosure obligations. Topics to be covered include: public offerings of securities and the registration process under the Securities Act of 1933, exemptions from these registration requirements and the role of exemptions in the financing of private and public firms, and the disclosure obligations of publicly-traded issuers. The course will also examine the role of anti-fraud rules in the issuance and trading of securities as well as liability for insider trading. Elements used in grading: Attendance, Class Participation, Final Exam.
Terms: Spr
| Units: 4
Instructors:
Bartlett, R. (PI)
LAW 1071: Exemptions from the Securities Act
This course examines in detail the operation of the exemptions from the Securities Act of 1933, with particular emphasis on the operation of these exemptions in the context of venture capital practice. Thus, the focus is on the private placement exemption, exemptions used to place incentive equity with employees, the potential for equity-sharing in the gig economy, resale exemptions used by founders and employees to obtain pre-IPO liquidity, Rule 144, and the evolution of private resale markets. Special Enrollment Instructions: The course is open to students who have completed the Winter 2021 Securities Regulation (
Law 1027) course. Interested students may enroll directly in Axess. Students that have not completed
Law 1027 in Winter 2021 must email Professor Grundfest at grundfest@stanford.edu for consent prior to enrolling in the course in Axess. Students that enroll in Axess without instructor consent will be asked to drop the course. Elements used in grading: Attendance, Participation, Extended Take-Home Exam.
Last offered: Spring 2021
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