LAW 7013 - Securities Law: Public Companies

This course will prepare students to advise public companies with respect to their securities law compliance obligations. Topics will include the ongoing disclosure requirement, the tender offer rules, the proxy rules, the corporate governance and other listing standards of the NYSE and NASDAQ, and insider trading. In addition, the course will discuss issues concerning the acquisition of public companies, including the agreements used for such transaction, the steps public companies take to thwart hostile takeovers, and the fiduciary duties owed by officers and directors in this context. Time permitting, we will cover the compliance obligations of financial intermediaries, including stock brokers, investment advisers, mutual funds, hedge funds, and venture capital funds.