Securities Regulation (Omarova)
Faculty
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| Saule Omarova Earle Hepburn Professor of Law sto12@law.upenn.edu |
Additional Information
Skills Training
Other Professional Skills: Reading and interpreting statutory and regulatory text.
Grading
100% Exam,
Other (Class participation is extremely important. The final grade may be adjusted upward or downward to account for participation.)
Exam
Multiple Choice,
Short Answer,
Essay,
In Class,
Partial Open Book (Students are allowed to bring to the exam hard copies of any written material related to the course. They cannot access internet or any materials stored on their laptops.)
No
Class meets in person.
Course Continuity
Students are encouraged to stay home if you are ill or experience flu-like symptoms. If you miss a class for any reason, it is still your responsibility to make up the work missed.
I offer the following to students who miss class due to illness:
- When you are better, please make an appointment to meet with me and I will review/answer questions about what you missed.
Meeting Times/Location
TR 10:30AM - 11:50AM
Gittis Hall 2
Category
Upper-Level
Credits
3.0
This course examines federal securities regulation. Topics include the registration of securities under the Securities Act (and applicable exemptions), civil liability, the definition of a security, periodic disclosure requirements for public companies, Rule 10b-5 liability, the role and powers of the Securities & Exchange Commission and capital markets regulation. The course is particularly useful for students pursuing careers in business law, litigation, capital markets, investment banking, and/or private equity. The course will use a combination of lecture and Socratic formats. Regular attendance and class participation are required.
Prior or concurrent enrollment in Corporations for JD students, a prior course in business law (at Penn or elsewhere) for LLM students OR permission of the Professor is recommended.
Business and Corporate Law Learning outcomes: Demonstrate a core understanding of business and corporate law; Perform legal analysis in the context of business and corporate law; Communicate effectively on topics related to business and corporate law; Demonstrate an understanding of the interconnection between the world of business and finance and that of business and corporate law, and how they affect other areas of law and society.
Textbooks
"Securities Regulation: Cases and Analyses" by Stephen J. Choi, A.C. Pritchard |