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Advanced Securities Regulation (LAWS 5412)

Course Info

This course will expand on the disclosure and enforcement themes discussed in the Securities Regulation (LAWS 307) survey course to engage in an in-depth examination of selected real-world securities topics. The focus will be to deepen the student's understanding of the SEC regulatory regime through consideration of current "hot topics" in securities law (such as executive compensation, 8-K disclosures, loss contingencies and Management's Discussion & Analysis), by reviewing SEC pronouncements and working with actual or hypothetical disclosure and counseling situations. In addition to analyzing rules, students will participate in drafting, analyzing and commenting on sample disclosure documents and client advice memos. The course is designed to further the student's understanding of a corporate/securities law practice as well as deepen the student's substantive knowledge in securities regulation law.



Prof. Robert Rapp

Prof. Robert Rapp is a Visiting Assistant Professor of Law who teaches securities regulation, business associations, and law, theory and practice in financial markets.


The syllabus for your course is available on Canvas.


** No Textbook Required **

Study Aids

These study aids are available online.  Please click the hyperlinked title to view them. For instructions on how to use the specific platforms, including troubleshooting, please view Andy Dorchak's Study Aids Research Guide.


Computer-Aided Legal Instruction (CALI) requires an authorization code to use. If you do not have a CALI account, please contact Kieran Layton or the reference desk for assistance.

CALI (Computer Assisted Legal Instruction) Securities lessons


If you have not registered your Quimbee account, please contact Kieran Layton or the reference desk for assistance.

Quimbee Securities Regulation materials

Audio Guides

 Course Guides