Loyola University Chicago

School of Law

Compliance Courses

817: Securities Regulation


Securities Regulation explores the basic statutory regime for issuing securities in the Unites States, the requirement for registration of securities, exemptions from and exceptions to registration. The course will also cover the consequences of the failure to register as well as the consequences of improper or insufficient disclosure of material facts. Recent statutes and case law will be considered, including SOX and Dodd-Frank. Strong emphasis will be placed on the Securities Act of 1933 (“1933 Act”) and the Securities Exchange Act of 1934 (“1934 Act”), and the relevant SEC Rules (“Rules”) interpreting those statutes.