Key Securities Law Liabilities and Principal Underwriting Documents (LAW588)
Course Overview

Much of securities regulation is focused on public disclosure; it is therefore important to ensure that the information is accurate so that there are no material misstatements or omissions.

In this course, you will consider some of the principal securities law liabilities to which certain actors in an offering may be exposed when disclosure is problematic. You will also explore how securities laws can impose liability, including when a person breaches a duty by doing insider trading as well as when a company insider engages in “short-swing” trading of the company's shares. Finally, you will consider some of the principal agreements and other documents in a public offering of securities to better understand their full context for your work.

You are required to have completed the following courses or have equivalent experience before taking this course:

  • LAW585: Defining Security
  • LAW586: Securities Registration and Reporting
  • LAW587: Registration Requirement Exemptions

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