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Office: 022B
E-mail: lawosa@indiana.edu

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Alexis D. Lanham

Associate Director of Student Affairs
Phone: (812) 855-1888
E-mail: adlanham [at] indiana [dot] edu

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B666 International Securities Regulation

Description This three-credit hour offering is concerned with the effect that law and policy have on global financing by non-governmental, for-profit businesses and on global trading of securities that these business entities create and sell. The course begins with an introduction to financial markets and globalization, U.S. capital markets, international capital markets and theories of securities regulation. After providing students with a sense of the capital markets and the major participants in those markets, the course then explores the impact of U.S. securities law on domestic and foreign companies (including mutual funds), and their shareholders. The course examines the impact of U.S. securities regulation on broker-dealers, investment advisers and other intermediaries in the capital markets. It concludes with a study of statutory and administrative protections for investors, in connection with domestic and foreign transactions that violate registration, disclosure and anti-fraud provisions of U.S. law. There are no prerequisites. Students are not expected to be familiar with finance, international business transactions, domestic or foreign securities markets or practices, or any aspects of securities law. Lectures and detailed course materials will discuss these and other preliminary topics. Course materials include sample disclosure documents, problems and judicial opinions. The subject matter of this course is not duplicated in Securities Regulation I or Securities Regulation II and, therefore, students who enroll in this course are eligible to enroll in either or both of those courses. The final examination will be a four-hour take-home exam. Useful but not essential for the general practice of law.

Faculty W. Hicks

SemesterTitleFaculty
Fall 2014 - 2015International Securities RegulationHicks
Fall 2012 - 2013International Securities RegulationHicks
Fall 2011 - 2012International Securities RegulationHicks
Fall 2010 - 2011International Securities RegulationHicks
Fall 2009 - 2010International Securities RegulationHicks